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89 results for “Securities and Exchange Commission”

Case Title Lower Court Docketed Status Tags Question Presented
25-895 Lee Michael Pederson v. Securities and Exchange Commission Eighth Circuit 2026-01-29 Pending administrative-review circuit-split due-process judicial-review sec-regulations standard-of-review Whether a court may deem a standard of review argument waived despite circuit split, substitute its own determination in an administrative review, int…
25A827 John A. Amster, et al. v. Securities and Exchange Commission, et al. Eighth Circuit 2026-01-22 Application administrative-interpretation dodd-frank enforcement-action objective-standard sec-regulations whistleblower-award Whether the Securities and Exchange Commission can retroactively reinterpret its own whistleblower regulations to deviate from the originally establis…
25A786 Thomas Joseph Powell, et al. v. Securities and Exchange Commission Ninth Circuit 2026-01-07 Application certification corporate-disclosure court-rules legal-standing procedural-filing rule-29.6 Question not identified.
25A636 Princewell Arinze Duru v. United States Ninth Circuit 2025-12-02 Application criminal-enhancement fraud-conspiracy identity-theft lawful-authority statutory-interpretation victim-definition Whether 18 U.S.C. § 1028A permits conviction for consensual use of one's own identifying information when the statute requires use 'without lawful aut…
25A506 Walter W. Bullock, et al. v. Rivian Automotive, Inc., et al. California 2025-11-04 Application corporate-charter federal-court forum-provision initial-public-offering securities-act state-court Whether a publicly-traded corporation can unilaterally amend its corporate charter to include a forum-steering provision that requires Securities Act …
25-466 Ongkaruck Sripetch v. Securities and Exchange Commission Ninth Circuit 2025-10-16 Granted circuit-split civil-enforcement disgorgement pecuniary-harm sec-enforcement statutory-interpretation Whether the SEC may seek equitable disgorgement under 15 U.S.C. 78u(d)(5) and (d)(7) without showing investors suffered pecuniary harm
25-465 Timothy Barton v. Securities and Exchange Commission Fifth Circuit 2025-10-16 Pending asset-seizure constitutional-limits due-process equitable-relief fifth-circuit securities-law Does 15 U.S.C. § 78u(d)(5) and its authorization for the Commission to seek 'equitable relief' allow the Commission and a district court to order seiz…
25A265 Timothy Barton v. Securities and Exchange Commission Fifth Circuit 2025-09-05 Presumed Complete asset-seizure due-process equitable-relief preliminary-injunction receivership securities-law Whether the Securities and Exchange Commission can obtain a prejudgment receivership seizing entire companies without demonstrating clear necessity an…
24-1233 John M. Barr, et al. v. Securities and Exchange Commission Fifth Circuit 2025-06-04 Denied administrative-law agency-discretion due-process regulatory-standard retroactive-application whistleblower-award Whether an agency can deny a whistleblower award by applying a new regulatory standard retroactively, after the whistleblower's claim has fully mature…
24-6975 Samuel T. Whatley, II v. T-Mobile USA, Inc. Fourth Circuit 2025-04-11 Dismissed federal-judges governmental-immunity misconduct privacy-rights property-rights stock-equities Are private entities invested with stock equities of assigned federal judges exceeding $10,000 subject to federal law prosecutions, review, lawsuits, …
24-949 Navellier & Associates, Inc., et al. v. Securities and Exchange Commission First Circuit 2025-03-05 Denied anti-fraud-provisions disgorgement investor-protection materiality-standard sec-enforcement securities-law Whether the SEC can seek disgorgement for investor clients who suffered no pecuniary harm under securities law anti-fraud provisions
24A727 John M. Barr, et al. v. Securities and Exchange Commission Fifth Circuit 2025-01-24 Presumed Complete administrative-procedure agency-delay retroactive-guidance sec-interpretation statutory-guidance whistleblower-award Whether a government agency can intentionally delay issuing a legally required decision to circumvent past agency representations and precedents
24A622 Navellier & Associates, Inc., et al. v. Securities and Exchange Commission First Circuit 2024-12-23 Presumed Complete circuit-split disgorgement equitable-remedy investor-protection sec-enforcement securities-law Whether a federal court has authority to award disgorgement under securities law when the alleged victims suffered no pecuniary harm
24-5712 John Doe v. Securities and Exchange Commission District of Columbia 2024-10-07 Denied administrative-procedures-act dodd-frank-act due-process enforcement-action judicial-review sec-whistleblower Whether the SEC's denial of a whistleblower award violates the Dodd-Frank Act, Administrative Procedures Act, and due process clause in light of recen…
24M21 John Doe v. Securities and Exchange Commission District of Columbia 2024-08-23 Presumed Complete None
24-52 Gunes Biray v. Securities and Exchange Commission District of Columbia 2024-07-17 Denied administrative-law administrative-procedure agency-deference agency-discretion appellate-review arbitrary-and-capricious due-process sec-enforcement securities-law securities-regulation whistleblower-protection Does the United States Securities and Exchange Commission (SEC) possess absolute immunity from appellate scrutiny when it arbitrarily or capriciously …
23A899 Manoranjan Rao v. Securities and Exchange Commission, et al. District of Columbia 2024-04-09 Presumed Complete administrative-procedure disclosure-requirements due-process enforcement-action sec-investigation whistleblower-award Whether the SEC's denial of a whistleblower award based on claimed non-reliance on the whistleblower's tip violates due process when the agency refuse…
23-987 Shalini Ahmed v. Securities and Exchange Commission Second Circuit 2024-03-11 Denied asset-seizure civil-rights disgorgement due-process equitable-limitations equitable-limits judicial-review nominee-doctrine pullman-standard-v-swint sec-enforcement sec-v-liu Whether the value of assets unilaterally seized by the alleged victim should be offset against disgorgement, and whether the value of shares returned …
23-6835 R. Allen Stanford v. Ralph S. Janvey, et al. Fifth Circuit 2024-02-27 Denied civil-enforcement district-court-jurisdiction equity-receiver equity-receivership federal-civil-procedure federal-venue general-jurisdiction securities-enforcement securities-regulation ultra-vires venue-laws Whether the SEC properly construed and applied federal venue laws
23-741 Iftikar A. Ahmed v. Securities and Exchange Commission, et al. Second Circuit 2024-01-09 Denied appellate-procedure circuit-split civil-procedure cross-appeal-rule greenlaw-v-united-states judicial-discretion jurisdiction remand remedy-limitation substantive-law Whether the cross-appeal rule is jurisdictional or mandatory, or admits of exceptions
23A582 Shalini Ahmed v. Securities and Exchange Commission Second Circuit 2023-12-22 Presumed Complete None Question not identified.
23-626 Elon Musk v. Securities and Exchange Commission Second Circuit 2023-12-11 Denied civil-rights constitutional-rights first-amendment free-speech government-action sec-enforcement settlement settlement-agreement standing unconstitutional-conditions Whether a party's acceptance of a benefit prevents that party from contending that the government violated the unconstitutional conditions doctrine in…
23A342 Elon Musk v. Securities and Exchange Commission Second Circuit 2023-10-16 Presumed Complete None Question not identified.
23-240 David L. Smith v. Securities and Exchange Commission Second Circuit 2023-09-13 Denied circuit-split civil-procedure civil-rights collateral-relief disgorgement due-process judicial-review rule-60b4 sec-enforcement standing takings void-judgment Is Petitioner entitled to collateral relief from an extra-legal 'disgorgement' order, which the SEC had no power to obtain, and the district court had…
23-98 Gregory Lemelson, aka Father Emmanuel Lemelson, et al. v. Securities and Exchange Commission First Circuit 2023-08-02 Denied first-amendment fraud free-speech market-speech material-misstatement rule-10b-5 sec-rule-10b-5 securities-exchange-act securities-exchange-act-of-1934 securities-law securities-regulation Whether the First Amendment protects a securities market participant from being punished and enjoined by the government for intentionally or recklessl…
23A96 Henry Klein v. Louisiana Office of Disciplinary Counsel Louisiana 2023-08-01 Presumed Complete administrative-adjudication appointments-clause due-process lawyer-discipline non-article-iii-officers separation-of-functions Whether a state agency that combines prosecutorial and adjudicatory functions within a single entity, without meaningful separation of those functions…
22-1241 Jocelyn M. Murphy, et al. v. Securities and Exchange Commission Ninth Circuit 2023-06-27 Denied broker-registration due-process eighth-amendment fair-notice securities-exchange-act-1934 securities-law securities-laws securities-violations seventh-amendment statutory-penalty statutory-penalty-caps Whether the courts below exceeded the statutory penalty caps established by Congress 'for each violation' of the securities laws, depriving Petitioner…
22A1006 Gregory Lemelson, aka Father Emmanuel Lemelson, et al. v. Securities and Exchange Commission First Circuit 2023-05-19 Presumed Complete None
22-1103 Edward Bronson v. Securities and Exchange Commission Second Circuit 2023-05-11 Denied appellate-review circuit-court-order civil-procedure civil-rights constitutional-sanctions due-process injunctive-relief penalties punitive-sanctions standing statutory-penalties supreme-court-precedent Whether the Summary Order of the Court of Appeals for the Second Circuit conflicts with decisions of this Court
22-1073 Team Resources Incorporated, et al. v. Securities and Exchange Commission Fifth Circuit 2023-05-04 Denied civil-penalty disgorgement due-process eighth-amendment evidentiary-hearing federal-court securities-and-exchange-commission securities-law Whether a federal court may grant a disgorgement request from the Securities and Exchange Commission without granting a defendant's request for a live…
22-991 George R. Jarkesy, Jr., et al. v. Securities and Exchange Commission Fifth Circuit 2023-04-12 Denied administrative-law agency-adjudication circuit-court-jurisdiction due-process judicial-review jurisdiction securities-law securities-regulation statutory-interpretation Whether circuit courts have jurisdiction to remand to the SEC under 15 U.S.C. § 78y
22-963 John Doe v. Securities and Exchange Commission Second Circuit 2023-04-04 Denied administrative-action criminal-conduct criminal-violation dodd-frank enforcement-action judicial-action pleaded-guilty sec-interpretation sentencing whistleblower whistleblower-award Does Dodd-Frank's whistleblower award program exclude whistleblowers whose criminal conduct is only tangentially connected to the enforcement action (…
22-950 Dorothy A. Smulley v. Safeco Insurance Company of Illinois, et al. Second Circuit 2023-03-29 Denied commerce-clause digital-transactions due-process insurance-valuation interstate-commerce mccarran-ferguson-act public-interest securities-exchange-commission software-as-a-service standing Whether personal motor vehicle physical damage (MVPD) insurance valuations performed by a third party Software as a Service (SaaS) company over the In…
22-859 Securities and Exchange Commission v. George R. Jarkesy, Jr., et al. Fifth Circuit 2023-03-09 Judgment Issued administrative-enforcement administrative-law article-ii civil-penalties civil-rights due-process enforcement nondelegation-doctrine sec-proceedings securities seventh-amendment Whether statutory provisions that empower the Securities and Exchange Commission (SEC) to initiate and adjudicate administrative enforcement proceedin…
22-751 Charles C. Liu, et al. v. Securities and Exchange Commission Ninth Circuit 2023-02-09 Denied appellate-jurisdiction circuit-split disgorgement equity-practice joint-and-several-liability mandate-rule net-profits procedural-requirement profits-based-remedy third-party-funds Whether the decision of the Ninth Circuit requiring petitioners to disgorge funds they raised and disbursed to unrelated third parties, but never pers…
22-687 Randall S. Goulding v. Securities and Exchange Commission Seventh Circuit 2023-01-24 Denied burden-shifting disgorgement legitimate-business liu-v-sec net-profits non-fraudulent-activities sec sec-enforcement treasury-distribution Whether a district court's award of disgorgement to the SEC based on the defendant's cash withdrawals from a business without considering whether the …
22-646 Sergey Pustelnik, et al. v. Securities and Exchange Commission Second Circuit 2023-01-11 Denied artificiality fraud intent legal-standard market-manipulation scienter securities-exchange-act securities-fraud securities-regulation Whether scienter alone may satisfy the traditionally separate artificiality requirement to establish market manipulation?
22A596 Securities and Exchange Commission v. George R. Jarkesy, Jr., et al. Fifth Circuit 2023-01-05 Presumed Complete None
22A461 Randall S. Goulding v. Securities and Exchange Commission Seventh Circuit 2022-11-28 Presumed Complete None
22-368 Victor Hong v. Securities and Exchange Commission, et al. Second Circuit 2022-10-19 Denied dodd-frank dodd-frank-act enforcement-action exchange-act monetary-sanctions sec securities-exchange-act securities-law securities-law-violation whistleblower whistleblower-incentive What is an 'action' within the Exchange Act's securities whistleblower incentive program, 15 U.S.C. §78u-6(a)(1)?
22-332 Terraform Labs Pte Ltd., et al. v. Securities and Exchange Commission Second Circuit 2022-10-11 Denied civil-procedure civil-rights constitutional-procedure corporate-tag corporate-tag-jurisdiction due-process personal-jurisdiction sec-rules service-of-process Did the SEC properly exercise personal jurisdiction over a foreign company?
22A183 Terraform Labs Pte Ltd., et al. v. Securities and Exchange Commission Second Circuit 2022-08-25 Presumed Complete None
22-5098 Arthur Torlucci v. California California 2022-07-13 Denied administrative-law agency-adjudication appointments-clause civil-rights due-process judicial-review legal-standard lower-court-ruling protected-activity securities-regulation separation-of-powers statutory-interpretation Whether the Appointments Clause of the U.S. Constitution requires that administrative law judges of the U.S. Securities and Exchange Commission be app…
21-7467 Patrick Muraca v. Securities and Exchange Commission First Circuit 2022-03-25 Denied access-to-courts attorney-representation civil-rights court-deadlines due-process incarcerated-rights incarceration legal-access procedural-rules right-to-counsel speedy-trial Does an incarcerated individual have the timely and speedy right to an attorney before important court decisions are made, such as missing a deadline …
21-1284 Barry D. Romeril v. Securities and Exchange Commission Second Circuit 2022-03-23 Denied constitutional-rights content-based-restriction due-process first-amendment prior-restraint sec-settlement viewpoint-based-restriction void-judgment Does the SEC's requirement of a lifetime gag order in settlements violate the First Amendment?
21-1239 Securities and Exchange Commission, et al. v. Michelle Cochran Fifth Circuit 2022-03-11 Judgment Issued administrative-law administrative-law-judge civil-procedure constitutional-challenge constitutional-law district-court-jurisdiction federal-jurisdiction removal-provisions sec-administrative-proceeding securities-regulation separation-of-powers statutory-interpretation Whether a federal district court has jurisdiction to hear a suit in which the respondent in an ongoing Securities and Exchange Commission administrati…
21-7210 James Thomas Webb v. United States Eleventh Circuit 2022-02-25 Denied double-jeopardy due-process fair-play federal-jurisdiction jurisdiction personal-jurisdiction settlement-agreement sovereign-immunity takings Did the relitigation of the CLOSED Florida 2 Federal District Court case United States Securities and Exchange Commission v. James Thomas Webb (Case S…
21-681 Andy Altahawi v. Securities and Exchange Commission Second Circuit 2021-11-09 Denied capital-gains-tax civil-procedure consent-judgment restitution rule-60 rule-60(b) sec second-circuit tax-implications Whether the Second Circuit erred when it upheld the district court's denial of Altahawi's motion pursuant to Fed. R. Civ. P. 60(b)(5) and (6) to make …
21-642 Jehu Hand v. United States First Circuit 2021-11-02 Denied criminal-liability disclosure-requirements hype regulatory-interpretation resale-of-shares rule-10b-5 securities-exchange-act securities-law stock-fraud stock-price-crash total-mix-of-information Can criminal liability under Securities Exchange Act Rule 10b-5 lie when the 'total mix' of information includes a warning that the public disclosure …
21-594 Alphabet Inc., et al. v. Rhode Island, Office of the Rhode Island Treasurer on Behalf of the Employees' Retirement System of Rhode Island Ninth Circuit 2021-10-25 Denied annual-filing circuit-split disclosure-requirements forward-looking past-information quarterly-report risk-factors sec-regulations securities-disclosure securities-regulation Whether 'risk factors' disclosed in securities filings must disclose only future risks or must also disclose past risks
21-591 Donald J. Fowler v. Securities and Exchange Commission Second Circuit 2021-10-22 Denied civil-penalties civil-penalty civil-procedure constitutional-limits disgorgement excessive-penalties private-agreement sec-enforcement statute-of-limitations subject-matter-jurisdiction Where 28 U.S.C. § 2462 permits tolling of 5-year statute of limitations by private agreement
21-82 Alpine Securities Corporation v. Securities and Exchange Commission Second Circuit 2021-07-21 Denied administrative-law agency-authority bank-secrecy-act enforcement-authority mens-rea sec-enforcement securities-and-exchange-commission securities-exchange-act statutory-interpretation treasury-department Does the SEC have independent authority to interpret and enforce the Bank Secrecy Act?
20-1727 James David O'Brien v. Securities and Exchange Commission Second Circuit 2021-06-15 Denied circuit-court-ruling civil-procedure federal-agency immunity legal-interpretation proffer-agreement subpoena testimony testimony-protection Did the United States Court of Appeals for the Second Circuit err in deciding that a proponent of testimony pursuant to a proffer agreement is not lat…
20-1652 Meghan Belaski, et al. v. Securities and Exchange Commission District of Columbia 2021-05-26 Denied confidential-information double-jeopardy fifth-amendment intellectual-property related-action securities-exchange-commission securities-law takings-clause whistleblower whistleblower-award Do the statutory rules of the SEC violate the Double Jeopardy Clause and Takings Clause of the Fifth Amendment?
20-1364 BofI Holding, Inc., et al. v. Houston Municipal Employees Pension System Ninth Circuit 2021-03-30 Denied basic-inc-v-levinson disclosure-standards dura-pharmaceuticals efficient-capital-markets-hypothesis efficient-market-hypothesis fraud-on-the-market investor-protection loss-causation market-price securities-exchange-act securities-fraud Whether disputed public allegations about an issuer or its business, without any additional corroborating disclosure or event, reveal to an efficient …
20-862 Hui Feng, et al. v. Securities and Exchange Commission Ninth Circuit 2020-12-30 Denied antifraud-provisions broker-registration capital-raising investment-advisers-act-of-1940 sec-authority secondary-market secondary-market-transactions securities-act securities-exchange-act securities-exchange-act-of-1934 statutory-interpretation Whether the SEC exceeded its statutory authority
20A48 John Masiz v. Securities and Exchange Commission First Circuit 2020-09-18 Presumed Complete None
20-5669 Christopher Paul George v. United States Ninth Circuit 2020-09-11 Denied apprendi-rule apprendi-v-new-jersey constitutional-procedure criminal-restitution equity-practice fifth-amendment jury-trial jury-verdict seventh-amendment sixth-amendment Whether Apprendi applies to a mandatory criminal restitution order, and whether the Seventh Amendment requires a restitution order to comply with trad…
20-276 Christopher M. Gibson v. Securities and Exchange Commission, et al. Eleventh Circuit 2020-09-03 Denied administrative-law administrative-law-judges appointments-clause constitutional-challenge dodd-frank free-enterprise-fund jurisdictional-review lucia-v-sec sec-enforcement securities-and-exchange-commission separation-of-powers Whether Congress has implicitly stripped federal district courts of jurisdiction to adjudicate separation-of-powers challenges to the authority of SEC…
20-81 Diana Berber v. Wells Fargo Bank, N.A., et al. Eleventh Circuit 2020-07-28 Denied appellate-procedure civil-rights due-process employment en-banc-petition judicial-administration judicial-review rehearing-denial rehearing-en-banc supervisory-jurisdiction wells-fargo Did the Eleventh Circuit, by denying Ms. Berber's petitions for rehearing en banc, so far depart from the accepted and usual course of judicial admini…
19-1310 Craig R. Jalbert, in His Capacity as Trustee of the F2 Liquidating Trust v. Securities and Exchange Commission First Circuit 2020-05-21 Denied administrative-law agency-authority civil-rights disgorgement due-process judicial-review legislative-power penalty-enforcement securities separation-of-powers statutory-interpretation statutory-penalties Whether a federal government agency commits a structural separation-of-powers violation by exercising a legislative function when, in addition to expl…
19-7714 Angelique de Maison v. Securities and Exchange Commission Second Circuit 2020-02-20 GVR disgorgement enforcement-action equitable-relief liu-v-sec penalty securities-law standing supreme-court Whether the Securities and Exchange Commission may seek and obtain disgorgement from a court as 'equitable relief' for a securities law violation even…
19-997 Gary S. Williky v. Securities and Exchange Commission Seventh Circuit 2020-02-10 Denied appellate-review circuit-court civil-penalties discretion guilty-plea guilty-pleas guilty-verdicts judicial-discretion seventh-circuit whistleblower Did the Seventh Circuit Court of Appeals err in determining that the Trial Court did not abuse its discretion by awarding 2x civil penalties against W…
19-978 Team Resources Incorporated, et al. v. Securities and Exchange Commission Fifth Circuit 2020-02-04 GVR disgorgement equitable-remedy federal-court penalty penalty-analysis sec sec-enforcement securities-law securities-violations Whether the Securities and Exchange Commission may obtain disgorgement from a federal court as an equitable remedy for securities violations despite t…
19-919 Joseph Becker, et al. v. Ralph S. Janvey, et al. Fifth Circuit 2020-01-23 Denied anti-injunction-act equitable-receivership in-aid-of-jurisdiction in-rem-claims ponzi-scheme securities-claim securities-litigation settlement-bar-order state-court-litigation state-court-proceedings Whether the Anti-Injunction Act allows for the issuance of a bar order by the SEC-appointed equitable receiver that permanently stays a pending state …
19-909 Dennis J. Malouf v. Securities and Exchange Commission Tenth Circuit 2020-01-22 Denied administrative-exhaustion appointments-clause claim-processing-rule equitable-exceptions investment-advisers-act jurisdictional-condition securities-exchange-act securities-law What constitutes 'reasonable grounds' to excuse failure to raise Appointments Clause objection before SEC?
19-878 Guy Gentile v. Securities and Exchange Commission Third Circuit 2020-01-15 Denied administrative-enforcement administrative-law circuit-split civil-penalties civil-procedure injunctions injunctive-relief penalty-bar securities-law statute-of-limitations Does the five-year statute of limitations in 28 U.S.C. § 2462 apply to 'obey the law' injunctions and penny stock industry bars pursuant to 15 U.S.C. …
19-6607 Robert Allen Stanford v. Jay Clayton District of Columbia 2019-11-13 Denied civil-rights discretionary-function due-process extraterritorial extraterritorial-jurisdiction fourth-amendment search-and-seizure sec-enforcement securities sovereign-immunity Whether the SEC's civil enforcement action against Stanford International Bank, Ltd. in Antigua violated the claimant's due-process rights
19-6571 Francisco Illarramendi v. John J. Carney, et al. Second Circuit 2019-11-12 Denied 28-usc-2462 civil-actions civil-procedure civil-procedure-statute-of-limitations-sec-28-usc- collateral-estoppel constitutional-rights due-process pdvsa-venezuela sec sec-enforcement sec-receiver-parallel-criminal-proceedings statute-of-limitations summary-judgment summary-judgment-collateral-estoppel summary-judgment-standard-tolan-v-cotton supreme-court-doctrine Do lower courts have an inherent duty to properly apply doctrine of this Supreme Court that confirms the applicability of the Statute of Limitations -…
19-392 Martin A. Armstrong v. Securities and Exchange Commission, et al. Second Circuit 2019-09-24 Denied asset-forfeiture asset-freezing civil-enforcement constitutional-right-to-counsel counsel-of-choice criminal-defendant criminal-procedure due-process parallel-civil-enforcement parallel-proceedings personal-property property-rights right-to-counsel Whether the constitutional right to counsel of choice extends to cases where a criminal defendant's assets are frozen as part of a parallel civil enfo…
19-343 New York Republican State Committee v. Securities and Exchange Commission District of Columbia 2019-09-17 Denied administrative-law first-amendment free-association free-speech investment-advisers political-contributions sec sec-rule-2030 Whether Rule 2030 of the United States Securities and Exchange Commission, which imposes a two-year ban on political contributions by investment advis…
19-97 Mitchell Jay Stein v. Securities and Exchange Commission Ninth Circuit 2019-07-19 Denied circuit-split civil-procedure collateral-estoppel jury-trial offensive-collateral-estoppel securities-fraud seventh-amendment summary-judgment Whether offensive collateral estoppel may be used to enter summary judgment on an alternative theory that was never presented to the trier of fact in …
19-5113 Sameer P. Sethi v. Securities and Exchange Commission Fifth Circuit 2019-07-09 Denied 7th-amendment civil-procedure civil-rights corporate-liability due-process fraud investor-protection sec-regulation securities securities-law standing summary-judgment Did the lower courts err in granting summary judgment against the defendant on securities fraud claims?
19A8 Martin A. Armstrong v. Securities and Exchange Commission, et al. Second Circuit 2019-06-28 Presumed Complete None
18-1566 Charles D. Scoville v. Securities and Exchange Commission Tenth Circuit 2019-06-21 Denied civil-procedure criminal-prosecution dodd-frank-act due-process extraterritorial-jurisdiction extraterritorial-reach extraterritoriality federal-jurisdiction sec-enforcement securities-exchange-act securities-exchange-act-of-1934 securities-law securities-regulation statutory-interpretation subject-matter-jurisdiction Whether Section 929P(b)'s jurisdictional amendments conferred substantive extraterritorial reach upon Sections 10(b) and 17(a) in SEC enforcement acti…
18-1501 Charles C. Liu, et al. v. Securities and Exchange Commission Ninth Circuit 2019-06-03 Judgment Issued agency-enforcement disgorgement equitable-relief judicial-review kokesh-v-sec lower-court-precedent penalty sec-enforcement securities-law statutory-interpretation Whether the SEC may seek and obtain disgorgement from a court as equitable relief' for a securities law violation even though this Court has determine…
18-1471 Christopher Hall v. Securities and Exchange Commission Eleventh Circuit 2019-05-24 Denied anti-fraud appellate-review civil-procedure due-process federal-rules-of-civil-procedure judgment-as-a-matter-of-law judgment-as-matter-of-law rule-50 securities securities-exchange-act securities-exchange-act-of-1934 securities-fraud standing Whether an appellate court has authority to consider challenges to issues of law raised in a pre-verdict Federal Rule of Civil Procedure 50(a) motion …
18A1180 Mitchell Jay Stein v. Securities and Exchange Commission Ninth Circuit 2019-05-15 Presumed Complete None
18-9224 Francisco Illarramendi v. Securities and Exchange Commission, et al. Second Circuit 2019-05-10 Denied 28-usc-2462 civil-actions civil-procedure collateral-estoppel constitutional-rights habeas-corpus sec securities-enforcement statute-of-limitations summary-judgment supreme-court-doctrine Do lower courts have an inherent duty to properly apply doctrine of this Supreme Court that confirms the applicability of the Statute of Limitations -…
18A1057 Charles D. Scoville v. Securities and Exchange Commission Tenth Circuit 2019-04-15 Presumed Complete None
18-8752 Kulwant Singh Sandhu v. United States Ninth Circuit 2019-04-10 Denied administrative-law circuit-split criminal-law criminal-speech first-amendment free-speech harassment public-policy statutory-interpretation telecommunications telephone-harassment Does 47 U.S.C. subsection 223(a)(1)(D) prohibit only the harassment caused by repeatedly ringing a telephone or does it also prohibit repeated verbal …
18A988 Christopher Hall v. Securities and Exchange Commission Eleventh Circuit 2019-03-28 Presumed Complete None
18A958 Charles C. Liu, et al. v. Securities and Exchange Commission Ninth Circuit 2019-03-22 Presumed Complete None
18-1117 Kabani & Company, Inc., et al. v. Securities and Exchange Commission Ninth Circuit 2019-02-26 Denied administrative-framework administrative-law appointments-clause constitutional-challenge constitutional-law due-process hearing-officer judicial-review lucia-v-sec procedural-validity ryder-v-united-states separation-of-powers structural-constitutional-objections timely-challenge Whether petitioners who timely challenge the constitutional validity of the administrative framework, including the appointment of the officer adjudic…
18-1010 Joseph P. Hagan, et al. v. Karim Khoja Ninth Circuit 2019-02-04 Denied circuit-split corporate-disclosure corporate-issuer disclosure duty-to-update historical-fact material-misstatement materiality reliance rule-10b-5 sec-rule-10b-5 securities-law Whether the Court should resolve the current circuit split regarding a corporate issuer's duty to update under Securities and Exchange Commission Rule…
18A482 Kabani & Company, Inc., et al. v. Securities and Exchange Commission Ninth Circuit 2018-11-05 Presumed Complete None
18-131 Troy Lyndon v. Securities and Exchange Commission Ninth Circuit 2018-07-31 Denied agency-action agency-authority agency-enforcement civil-enforcement civil-procedure civil-rights discovery due-process evidence-withholding exculpatory-evidence judicial-discretion settlement-agreement Did the District Court err in allowing an agency of the United States to contest and withhold exculpatory evidence when prosecuting a civil enforcemen…
18-5136 Francisco Illarramendi v. Securities and Exchange Commission, et al. Second Circuit 2018-07-05 Denied article-iii-standing civil-procedure civil-proceeding constitutional-liberty constitutional-property constitutional-property-rights constitutional-rights district-court inextricably-intertwined liberty-interests parallel-criminal-proceeding property-rights Can Article III standing be denied to a defendant in a civil proceeding who objects to district court rulings that directly affect the defendant's con…
23A55 Securities and Exchange Commission v. George R. Jarkesy, Jr., et al. Fifth Circuit Presumed Complete None Question not identified.