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Attorney Liability After Sarbanes-Oxley

Attorney Liability After Sarbanes-Oxley is a much-needed reference for in-house and outside counsel seeking to provide effective representation without violating legal or ethical obligations.
Publisher: ALM
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ISBN: 9781588521316
Publisher: ALM
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Attorney Liability After Sarbanes-Oxley is a much-needed reference for in-house and outside counsel seeking to provide effective representation without violating legal or ethical obligations. What should an attorney do when fraud is afoot? When should an attorney stop representing a corporate client—and what are the rules regarding a "noisy withdrawal"?

This important book explains the perils for lawyers in the wake of the Sarbanes-Oxley Act of 2002 and provides expert advice on the steps that can be taken to minimize them. Coverage includes: practical measures to prevent liability; "up-the-ladder" reporting; client identification; primary and secondary liability; conflicts of interest; and whistleblower complaints.

It also provides guidance on in-house counsel's role within the boardroom, when to write letters to clients and memos to the file, and other steps that can avert disaster. For lawyers committed to working vigorously for a client while avoiding potential liability, Attorney Liability After Sarbanes-Oxley is an essential addition to your library.

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Table of Contents


CHAPTER 1

Setting the Stage




CHAPTER 2

Attorney Liability Under the Federal Securities Laws



CHAPTER 3

Client Fraud



CHAPTER 4

SEC Enforcement



CHAPTER 5

Attorney Liability Under the State Securities Laws



CHAPTER 6

Attorney Liability Under the Common Law



CHAPTER 7

Internal Investigations



CHAPTER 8

Employee Whistleblowing in the Post-Sarbanes-Oxley Era



CHAPTER 9

Counsel Conflict Dilemmas



CHAPTER 10

Inside Counsel



CHAPTER 11

Selected Topics



CHAPTER 12

“Tips” to Avoid Liability



APPENDICES

Index