Losses in capital markets inevitably lead to litigation. In the trading context, liability stems from the nature of the relationship of the parties involved in a particular transaction. The plaintiff in litigation will look to common law as well as to the federal securities and commodity laws to find a violation that might support a private cause of action. This chapter discusses federal securities law, common law theories, and state “Blue Sky Laws.” Topics covered include the Securities Exchange Act of 1934, Securities Act of 1933, liability under the Commodity Exchange Act, breach of fiduciary duty, common law fraud, shingle theory, tort theory, and contract theory.
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