| 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… |
| 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 … |
| 22-368 |
Victor Hong v. Securities and Exchange Commission, et al. |
Second Circuit |
2022-10-19 |
Denied |
Response Waived |
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)? |
| 21-681 |
Andy Altahawi v. Securities and Exchange Commission |
Second Circuit |
2021-11-09 |
Denied |
Response Waived |
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 … |
| 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… |
| 19-6571 |
Francisco Illarramendi v. John J. Carney, et al. |
Second Circuit |
2019-11-12 |
Denied |
Response WaivedIFP |
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 -… |
| 19-343 |
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… |
| 18-9224 |
Francisco Illarramendi v. Securities and Exchange Commission, et al. |
Second Circuit |
2019-05-10 |
Denied |
Response WaivedIFP |
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 -… |
| 18-8463 |
Douglas A. Dyer v. United States |
Sixth Circuit |
2019-03-19 |
Denied |
Response WaivedIFP |
appellate-review circuit-court civil-procedure civil-remedy criminal-procedure double-jeopardy kokesh-v-sec sec sec-disgorgement sixth-circuit supreme-court-interpretation |
Whether the United States Court of Appeals for the Sixth Circuit erred in determining that the United States Supreme Court case of Kokesh v. SEC was n… |
| 18-65 |
David Aronstein, et al. v. Thompson Creek Metals Company, Inc., et al. |
Tenth Circuit |
2018-07-12 |
Denied |
Response Waived |
administrative-law civil-procedure corporate-misrepresentation disclosure disclosure-requirements due-process investor-communications material-omission materiality sec sec-disclosure securities-law securities-regulation securities-regulation-sec united-states-v-ohagan |
Whether the SEC's regulatory framework under Item 303 should be given controlling weight or if lower courts can substitute their own judgment on the a… |