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Responsibilities of Lawyers in Connection with
Recent SEC Pronouncements Concerning a Broker
May 26 1982
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2d Cir accounts action activities addition administrative adviser agency amendment applied assistance associated attorney authority bank Chiarella Circuit civil Civil Action client collateral estoppel Commission Commission's Complaint common stock Complaint alleges concerning conduct connection consented Corp corporate counsel Court criminal customers damages decision defendants determine directors disclose disclosure disgorgement District duty effect employees enforcement engaged enjoining entry Exchange Act facts failed filed Final findings firm fraud further grand jury held injunctive insider trading instituted interest investment involved issue Judgment lawyer limited litigation March material matter non-public information officers options party period person possession practice prevent procedures proceedings professional profits provisions purchase question reason registered relating Release representative respect responsibility result Rule Second securities laws shareholders shares standards statements supervision Supp tender offer tion transactions United violations