| 25-466 |
Ongkaruck Sripetch v. Securities and Exchange Commission |
Ninth Circuit |
2025-10-16 |
Granted |
Amici (3) |
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 |
| 24-1106 |
Joseph Mona v. Microbot Medical, Inc. |
Second Circuit |
2025-04-24 |
Denied |
Amici (1)Response Waived |
article-iii-standing business-judgment disgorgement securities-exchange-act shareholder-derivative-action short-swing-profits |
Whether an issuing corporation that neither alleged nor suffered actual injury has Article III standing to maintain an action for the disgorgement of … |
| 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 |
| 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 |
| 24-31 |
Michael J. Libman, et al. v. Antwon Jones, et al. |
California |
2024-07-12 |
Denied |
|
ability-to-pay attorney-fees disgorgement eighth-amendment excessive-fines professional-conduct proportionality-test |
Does the court-ordered disgorgement of attorney fees for violation of state rules of professional conduct fall under the 'excessive fines' clause of t… |
| 23-1338 |
Martin Shkreli v. Federal Trade Commission, et al. |
Second Circuit |
2024-06-25 |
Denied |
Response Waived |
affiliate-liability civil-procedure disgorgement equity equity-jurisdiction federal-jurisdiction sec sec-enforcement traditional-equity-practice unlawful-gains |
Does a district court's exercise of its federal equity jurisdiction, as defined and cabined by traditional equity practice, include the power to order… |
| 23A1044 |
Michael J. Libman, et al. v. Superior Court of California, Los Angeles County, et al. |
California |
2024-05-22 |
Presumed Complete |
|
attorney-fees disgorgement eighth-amendment ex-post-facto excessive-fines professional-conduct |
Whether the Eighth Amendment prohibits a state court from disgorging an attorney's fees without finding harm to clients or assessing the attorney's ab… |
| 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 … |
| 23-853 |
Credit Bureau Center, LLC, et al. v. Federal Trade Commission |
Seventh Circuit |
2024-02-07 |
Denied |
|
disgorgement equitable-monetary-relief federal-trade-commission restitution section-13(b) section-19 |
Whether Section 19 of the FTC Act, 15 U.S.C. § 57b(b), which prohibits the award of 'any exemplary or punitive damages,' empowers the Commission to se… |
| 23-5791 |
John Sherman Jumper v. United States |
Third Circuit |
2023-10-16 |
Denied |
Response WaivedIFP |
criminal-sentencing disgorgement double-jeopardy fifth-amendment kokesh-precedent kokesh-v-sec sentencing-enhancement |
Whether the prior disgorgement punishment precludes a criminal sentence or sentencing enhancement based on the same misconduct under the Double Jeopar… |
| 23-240 |
David L. Smith v. Securities and Exchange Commission |
Second Circuit |
2023-09-13 |
Denied |
Response Waived |
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… |
| 22-1073 |
Team Resources Incorporated, et al. v. Securities and Exchange Commission |
Fifth Circuit |
2023-05-04 |
Denied |
Response Waived |
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… |
| 22-751 |
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 … |
| 21-1605 |
Kevin Kerveng Tung, P.C. v. Charles M. Forman, Chapter 7 Trustee, et al. |
Third Circuit |
2022-06-29 |
Denied |
|
article-iii bankruptcy-code disgorgement non-core-proceedings separation-of-powers stern-v-marshall |
whether-a-non-article-iii-bankruptcy-court-judge-can-exercise-judicial-power |
| 21-591 |
Donald J. Fowler v. Securities and Exchange Commission |
Second Circuit |
2021-10-22 |
Denied |
Response Waived |
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 |
| 20-706 |
Stone Creek, Inc. v. Omnia Italian Design, Inc. |
Ninth Circuit |
2020-11-20 |
Denied |
|
circuit-court-precedent circuit-split disgorgement disgorgement-of-profits intellectual-property intentional-misconduct judicial-precedent mishawaka-rubber trademark-infringement unjust-enrichment willfulness |
Does the Ninth Circuit's refusal to disgorge profits in this case of intentional infringement involving the identical mark on identical products confl… |
| 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 |
Response Waived |
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 |
Relisted (3)IFP |
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… |
| 19-978 |
Team Resources Incorporated, et al. v. Securities and Exchange Commission |
Fifth Circuit |
2020-02-04 |
GVR |
Relisted (3) |
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… |
| 19-507 |
Publishers Business Services, Inc., et al. v. Federal Trade Commission |
Ninth Circuit |
2019-10-18 |
GVR |
Relisted (7) |
circuit-split disgorgement equitable-remedies equity-powers ftc-act ftc-act-section-13b kokesh kokesh-v-sec monetary-relief separation-of-powers statutory-interpretation |
Whether a district court can award monetary relief under § 13(b) of the FTC Act, consistent with separation-of-powers principles |
| 19-382 |
John Teets v. Great-West Life & Annuity Insurance Company |
Tenth Circuit |
2019-09-23 |
Denied |
|
civil-rights disgorgement due-process erisa fiduciary-duty harris-trust party-in-interest plan-assets tenth-circuit |
May an ERISA plan participant or beneficiary seek disgorgement of unreasonable profits derived from a plan contract from a nonfiduciary party in inter… |
| 19-48 |
B&B Hardware, Inc. v. Hargis Industries, Inc. |
Eighth Circuit |
2019-07-08 |
Denied |
|
bose disgorgement federal-circuit fraud fraud-standard lanham-act lanham-act-fraud patent rule-59-motion standard-of-review therasense trademark trademark-law uspto willfulness |
Whether the established precedent by the Federal Circuit for the determination of fraud on the USPTO should be adopted as the proper standard for all … |
| 18-1501 |
Charles C. Liu, et al. v. Securities and Exchange Commission |
Ninth Circuit |
2019-06-03 |
Judgment Issued |
Amici (19)Response RequestedResponse WaivedRelisted (4) |
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… |
| 18-1479 |
Jason P. Stinson v. United States |
Eleventh Circuit |
2019-05-28 |
Denied |
Response Waived |
26-usc-7402 burden-of-proof disgorge disgorgement due-process due-process,tax-preparation,26-usc-7402,permanent- evidence injunction internal-revenue-code litigation-conduct permanent-injunction tax-preparation tax-preparer |
Whether issuing a permanent injunction and an order to disgorge $949,000 against the owner of a tax preparation business under 26 U.S.C. § 7402 violat… |
| 18-1279 |
K. Wendell Lewis, et al. v. Pension Benefit Guaranty Corporation |
District of Columbia |
2019-04-08 |
Denied |
|
29-usc-1303(f) appropriate-equitable-relief circuit-split disgorgement equitable-relief erisa erisa-title-iv fiduciary-duties fiduciary-duty pension-benefit-guaranty-corporation pension-plan pension-plans statutory-interpretation |
Does § 1344(c) preclude disgorgement of profits from the Corporation as an appropriate equitable remedy under §1303(f) for the Corporation's breaches … |
| 18-8272 |
Juliette Fairley v. Don Ford, et al. |
Fifth Circuit |
2019-03-05 |
Denied |
IFP |
14th-amendment 5th-circuit civil-procedure civil-rights disgorgement district-court diversity-jurisdiction due-process federal-courts standing statutory-interpretation subject-matter-jurisdiction |
Did the 5th Circuit Court of Appeals violate the 14th Amendment when it upheld Petitioner Juliette's dismissal which was based on the District Court's… |
| 18-6756 |
John J. Koresko v. R. Alexander Acosta, Secretary of Labor |
Third Circuit |
2018-11-20 |
Denied |
Response WaivedIFP |
civil-procedure civil-rights contempt debt-imprisonment disgorgement due-process erisa erisa-case erisa-enforcement garnishment imprisonment judicial-review labor-secretary-powers preliminary-injunction statutory-interpretation |
Whether the Third Circuit Court of Appeals incorrectly decided that parts of a $38 million judgment for disgorgement' entered in 2015 against the Peti… |
| 18-403 |
Bruce A. Shear v. MAZ Partners, LP, Individually and on Behalf of All Others Similarly Situated |
First Circuit |
2018-09-28 |
Denied |
Amici (1)Response Waived |
civil-procedure civil-rights disgorgement disgorgement-order district-court-power diversity-jurisdiction due-process equitable-power equitable-remedy erie-doctrine federal-jurisdiction judicial-discretion jury-trial jury-verdict |
When a jury finds in favor of defendant on the sole claim asserted against him, may a district court affirm the verdict but then use 'equitable power'… |