broker-registration
2 cases — ← All topics
| Case | Title | Lower Court | Docketed | Status | Flags | Tags | Question Presented |
|---|---|---|---|---|---|---|---|
| 22-1241 | Jocelyn M. Murphy, et al. v. Securities and Exchange Commission | Ninth Circuit | 2023-06-27 | Denied | Amici (2) | 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… |
| 20-862 | Hui Feng, et al. v. Securities and Exchange Commission | Ninth Circuit | 2020-12-30 | Denied | Response Waived | 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 |