investment-advisers-act
2 cases — ← All topics
| Case | Title | Lower Court | Docketed | Status | Flags | Tags | Question Presented |
|---|---|---|---|---|---|---|---|
| 21-1316 | In Re Darru Hsu | 2022-04-01 | Denied | agency-authority chevron-deference class-action constitutional-rights federal-arbitration-act finra finra-arbitration fraud investment-advisers-act judicial-review | Whether the Federal Arbitration Act (FAA) contradicts the Investment Advisers Act (IAA) when fraud is inside an investment contract, and whether inves… | ||
| 19-909 | Dennis J. Malouf v. Securities and Exchange Commission | Tenth Circuit | 2020-01-22 | Denied | Response Waived | 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? |