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Casebook Read Credits
Regulation of Financial Institutions – Fall 2014
Section 4 . 2

Class Sixteen: October 16, 2014

Howell E. Jackson

In Today’s class, we will continue our discussion of Chapter Ten with the Mihara decision (689-95),and the Chasins decision (709-13). We’ll will also touch upon the Gutfreund decision (pages 722-27) on the duty to supervise and the McMahon case on mandatory securities arbitration (pages 728-34). As further context on these readings, take a quick look at Stavros Gadinis, The SEC and the Financial Industry: Evidence from Enforcement Against Broker-Dealers, 67 BUS. LAW. 679 (2012).

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