No. 19-249
Kevin Lampkin, et al. v. UBS Financial Services, Incorporated, fka UBS Painewebber, Incorporated, et al.
Response Waived
Tags: cendant-cases civil-procedure employee-compensation employee-stock-options fifth-circuit sale-definition sale-of-securities securities securities-act securities-act-of-1933 securities-regulation standing stock-option supervisory-powers
Key Terms:
Arbitration ERISA Securities
Arbitration ERISA Securities
Latest Conference:
2019-10-11
Question Presented (AI Summary)
Is the grant of an employee stock option a 'sale' of a security under the Securities Act of 1933?
Question Presented (OCR Extract)
QUESTION PRESENTED Is the grant of an employee stock option a “sale” of a security under the Securities Act of 1933?
Docket Entries
2019-10-15
Petition DENIED.
2019-09-25
DISTRIBUTED for Conference of 10/11/2019.
2019-09-17
Waiver of right of respondents UBS Financial Services Inc., et al. to respond filed.
2019-08-22
Petition for a writ of certiorari filed. (Response due September 25, 2019)
Attorneys
Kevin Lampkin, et al.
David Lee Augustus — The Spencer Law Firm, Petitioner
UBS Financial Services Inc., et al
Robert J. Giuffra Jr. — Sullivan & Cromwell, Respondent