Arbitrating Corporate Malfeasance

Authors

Abstract

With the Sarbanes-Oxley Act as a backdrop, this symposium explored the ramifications of the SarbanesOxley Act on the securities industry and how regulatory organizations address corporate malfeasance. Participants discussed how securities firms comply with Sarbanes-Oxley, including the effects of the attorney disclosure rules recently adopted by the Securities and Exchange Commission. The discussion addressed recent enforcement actions that resulted from Sarbanes-Oxley and the types of civil disputes that are arising. Finally, the participants described how dispute resolution mechanisms such as arbitration and mediation are being utilized for investor and employment cases arising on the heels of the enforcement cases.

Disciplines

Dispute Resolution and Arbitration | Law

Recommended Citation

Arbitrating Corporate Malfeasance, 4 Cardozo J. Conflict Resol. (2003).
Available at: https://larc.cardozo.yu.edu/cjcr/vol4/iss2/8