“Risky business”

September 20, 2013

  • 349B Securities Regulation
  • 349BI Federal Regulation
  • 349BI(C) Trading and Markets
  • 349BI(C)7 Fraud and Manipulation
  • 349Bk60.17 Manipulative, Deceptive or Fraudulent Conduct
  • 349Bk60.27 Misrepresentation
  • 349Bk60.27(5) k. Forecasts, Estimates, Predictions or Projections.

349B Securities RegulationThe securities laws do not require that investors be treated like children; investors know that the stock market is a risky business and that when a company’s officer makes predictions they are not issuing guarantees.
Gissin v. Endres, 739 F. Supp. 2d 488 (S.D.N.Y. 2010)