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Robert R. Stauffer

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Articles by Robert R. Stauffer

Alleged Mischaracterizations About Internal Investigation Support 10b-5 Scienter

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By Robert R. Stauffer, Block LLP, Ana R. Bugan
| Lexology Verified
In Wert v. Cohn, No. 17-C-219 (N.D. Ill. Sept. 1, 2017), shareholders of Ditto Holdings (“Ditto”) sued Ditto’s general counsel and members of Ditto’s board of directors. Plaintiffs alleged mismanagement and fraud, including fraud under Rule 10b-5 of the securities laws. Some of plaintiffs’ allegations concerned an investigative report prepared by Ditto’s outside counsel. Ditto had hired the law firm to investigate a former director’s allegations of corporate mismanagement.
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Prison sentences imposed upon executives under responsible corporate officer doctrine.

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By Robert R. Stauffer
| Lexology Verified
In limited circumstances, compliance carelessness by corporate executives who lack criminal intent can result in prison terms. In U.S. v. Quality Egg, LLC, No. 14-3024 (N.D. Iowa Apr. 14, 2015), the defendants were two individuals who exercised significant control over the operations of an egg production company. After a significant Salmonella outbreak was traced to conditions at a company facility, the individuals pled guilty to selling misbranded and adulterated food.
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