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Securities Regulation Keyed to Coffee
Carter & Johnson
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- 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.
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- 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.
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- 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:
Carter and Johnson were partners at the law firm representing National Telephone Co. (National) and participated in the drafting of a the “lease maintenance plan” (LMP), a contingent financing plan, which, when triggered, would cause the dissolution of the company. National’s CEO, Hart, declined to release a Form 8-K revealing the LMP’s existence. Throughout the following year, Hart was urged by Carter and Johnsonto disclose the LMP’s terms but Hart refused. In time, the LMP was triggered and it was then that Hart, in blatant opposition to their advice, asked the attorneys to draft an opinion declaring the disclosure of the LMP was unnecessary. Johnson and Carter refused and Hart resigned soon after. An action was brought against Johnson and Carter alleging that they aided and abetted Hart's illegal nondisclosure by the SEC. An Administrative Law Judge concurred, and Carter and Johnson appealed.
- Issue(s): Lists the Questions of Law that are raised by the Facts of the case.
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