SEC Litigation Release


Copy of the SEC Litigation Release that you have chosen for your research (see syllabus), emailed to me.

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Please ensure that you have put your name on your lit release before turning it. I will approve or not approve your

choice. Each person will be completing a different Litigation Release; this will be on a first come first serve basis.

You may use Litigation Releases for the year 2013, to the present. See Then click on ‘Litigation

Releases’. It is required that you pick a topic that has a larger company associated with it so that you will have

more research sources available to you. Do not pick a company that will have a negative impact on your grade

because there may be no research sources. Therefore, check to see if company financial information, news releases,

etcetera are available before making your choice.

An Optional Outline of your written research (if you want feedback, please turn in 2 weeks before paper is


By then have a copy of Litigation Release (see above) and a copy of all other sources that you will be using

to write your research paper. Other sources will include (but are not limited to); the complaint, the SEC Act,

Regulation, Rule, Sarbanes-Oxley Act, Corporation/Company’s Annual Report, Wall Street Journal Articles (or

other journal articles), etcetera (a copy of the specific section not the whole Act, Regulation, Rule, is required, for

Example Rule 10b-5). It is not necessary to turn these sources in however it is highly recommended that for

completion of the outline and successful completion of your research paper, timely, you should have found, and

saved these listed resources.

. Your paper is required to be typed, it will be graded on spelling, grammar, your ability to communicate in the written form and the technically understanding and support of your

paper. Your paper must not be shorter or than four (nor longer than six) double-spaced pages (Times New Roman

12 Font) not including your footnote references. Please be sure to include a bibliography (not counted in the 4-page

minimum). Include a cover page with your name, company name, etcetera; the cover page will not count in the 4-

page minimum. You must cite all references to your sources, when in doubt cite to avoid plagiarism. Your paper is

to include but is not limited to the following:

a) an explanation of the violation and how it occurred,

b) the Act, Regulation, Rule, violated (do not copy and paste the rule, put it in your own. words what the law is),

c)impact of the company involved,

d) impact on the individuals involved in the violation,

e)the consequences of the violation, for example: fines, penalties, sanctions, settlements, criminal sentences, etcetera,

f) others impacted by the fraud (be specific, whom and how),

g) how do we change the world so that people act ethically. Please ensure that you write concisely. The objective of this assignment is to understand business ethics, professional responsibility, fiduciary duty, and the application of law to a real case. If in doubt, ask, do not turn in a paper that you are not sure meets the requirements of this assignment, or is plagiarized.

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