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Jury Instruction - 4.4.2 Rule 10(b) - 5(b) Misrepresentations -...

Suffolk New York Jury Instruction - 4.4.2 Rule 10(b) - 5(b) Misrepresentations - Omissions Of Material Facts

Name: Suffolk New York Jury Instruction - 4.4.2 Rule 10(b) - 5(b) Misrepresentations - Omissions Of Material Facts
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Category:

Federal - Jury Instructions

State:

Multi-State

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Suffolk

Control #:

US-11CF-4-4-2

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This form contains sample jury instructions, to be used across the United States. These questions are to be used only as a model, and should be altered to more perfectly fit your own cause of action needs.

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Private parties can sue violators of Section 10(b) of the Securities Exchange Act of 1934 and SEC Rule 10b-5 for rescission of a contract to buy securities. Securities generally do not include any documents evidencing corporate ownership or debt.

SEC Rule 10b-5, states that it is illegal for any person to defraud or deceive someone, including through the misrepresentation of material information, with respect to the sale or purchase of a security.

Section 10(b) makes it unlawful to ?use or employ, in connection with the purchase or sale of any security? a ?manipulative or deceptive device or contrivance in contravention of such rules and regulations as the SEC may prescribe.? 15 U.S.C. § 78j(b).

Any party directly connected to the sale of securities is potentially liable; though there may be limits on the liability of certain professionals, such as auditors, bankers, accountants, etc. Rule 10(b)(5) allows for a cause of action by the SEC as well as private actions.

While not explicit in the language, courts have interpreted Rule 10b-5 to create a private civil cause of action and additionally allow the SEC to bring criminal enforcement actions. In order to bring a private right of action under Rule 10b-5, the plaintiff must have standing.

That is, claiming that a fraudulent misrepresentation caused the plaintiff to forego purchasing or selling a security does not allow them to bring a cause of action under Rule 10b-5. Unlike Section 11, however, Rule 10b-5 applies to both public offerings and private placements.

To establish liability under Section 10(b), a plaintiff must show that: The defendant made a material misstatement or omission; The misstatement or omission was made with an intent to deceive, manipulate or defraud (that is, with scienter);

In sum, SEC Rule 10b-5 is applicable to any person that commits securities fraud, i.e., the intentional misrepresentation of material information in connection with securities trading, including insider trading.

?To succeed on a Rule 10b-5 fraud claim based on an untrue statement or omission of a material fact, a plaintiff must establish (1) a false statement or omission of material fact; (2) made with scienter; (3) upon which the plaintiff justifiably relied; (4) that proximately caused the plaintiff's injury.? Robbins v.

The purchaser/seller requirement is the requirement that, to bring an action under 10b-5, a private plaintiff must be either a buyer or a seller of the company's stock. Potential buyers who were defrauded into not buying stock may not bring a claim under 10b-5.

Suffolk New York Jury Instruction - 4.4.2 Rule 10(b) - 5(b) Misrepresentations - Omissions Of Material Facts

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Who can sue violators of Section 10 B and Rule 10b-5?

What is a 10b-5 violation?

What is Section 10 B of the securities Exchange Act?

Who can be liable under 10b-5?

Is 10b-5 criminal or civil?

Does 10b-5 apply to private companies?

Which of the following is one of the elements of liability under Section 10 B of the Securities Exchange Act of 1934?

Who does Rule 10b-5 apply to?

What are the elements of a civil cause of action for violation of Rule 10b-5?

Who can sue under 10b-5?

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What is Suffolk Jury Instruction - 4.4.2 Rule 10(b) - 5(b) Misrepresentations - Omissions Of Material Facts?

When is Suffolk Jury Instruction - 4.4.2 Rule 10(b) - 5(b) Misrepresentations - Omissions Of Material Facts applicable?

What is the purpose of Suffolk Jury Instruction - 4.4.2 Rule 10(b) - 5(b) Misrepresentations - Omissions Of Material Facts?

What happens if someone is found to have intentionally or negligently misrepresented or omitted material facts?

How does Suffolk Jury Instruction - 4.4.2 Rule 10(b) - 5(b) protect parties in a legal proceeding?

What should the jury consider when evaluating allegations of misrepresentations or omissions of material facts?

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