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Securities Regulation Keyed to Coffee
In the Matter of Ira Haupt&Co.
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*Case Brief Anatomy includes: Brief Prologue, Complete Case Brief, Brief Epilogue
- The Brief Prologue provides necessary case brief introductory information and includes:
- Topic: Identifies the topic of law and where this case fits within your course outline.
- Parties: Identifies the cast of characters involved in the case.
- Procedural Posture & History: Shares the case history with how lower courts have ruled on the matter.
- Case Key Terms, Acts, Doctrines, etc.: A case specific Legal Term Dictionary.
- Case Doctrines, Acts, Statutes, Amendments and Treatises: Identifies and Defines Legal Authority used in this case.
- The Case Brief is the complete case summarized and authored in the traditional Law School I.R.A.C. format. The Pro case brief includes:
- Brief Facts: A Synopsis of the Facts of the case.
- Rule of Law: Identifies the Legal Principle the Court used in deciding the case.
- Facts: What are the factual circumstances that gave rise to the civil or criminal case? What is the relationship of the Parties that are involved in the case. Review the Facts of this case here:
The president and director of Park &Tilford, Schulte, owned 92% of the company’s outstanding common stock. Schulte declared that dividends would be distributed to Park &Tilfords shareholders at cost, and in an attempt to stabilize the market, Schulte instructed his broker, Ira Haupt&Co. to sell 100 – 300 shares of his stock every quarter or half a point the stock gained in value. Haupt sold 93,000 shares. A proceeding was started to verify if Haupt was in violation of the Securities Act by distributing securities without a registration statement.
- Issue(s): Lists the Questions of Law that are raised by the Facts of the case.
- Holding: Shares the Court's answer to the legal questions raised in the issue.
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- Reasoning and Analysis: Identifies the chain of argument(s) which led the judges to rule as they did.
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- Policy: Identifies the Policy if any that has been established by the case.
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