| 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 |
| 25-151 |
Kim H. Peterson, Individually & as Trustee of the Peterson Family Trusts, et al. v. Krista Freitag, Receiver for ANI Development, LLC, American National Investments, Inc., et al. |
Ninth Circuit |
2025-08-07 |
Denied |
Response RequestedRelisted (2) |
circuit-split equitable-receivership federal-court-authority non-consensual-release sec-enforcement third-party-claims |
Whether a federal court overseeing an equity receivership has equitable authority to dispose of claims that belong to a third-party against non receiv… |
| 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 |
| 24-52 |
Gunes Biray v. Securities and Exchange Commission |
District of Columbia |
2024-07-17 |
Denied |
Response Waived |
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 … |
| 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… |
| 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 … |
| 23-626 |
Elon Musk v. Securities and Exchange Commission |
Second Circuit |
2023-12-11 |
Denied |
Amici (1)Response RequestedResponse WaivedRelisted (2) |
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… |
| 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… |
| 22-687 |
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 … |
| 21-591 |
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 |
| 21-82 |
Alpine Securities Corporation v. Securities and Exchange Commission |
Second Circuit |
2021-07-21 |
Denied |
Amici (2) |
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? |
| 20-276 |
Christopher M. Gibson v. Securities and Exchange Commission, et al. |
Eleventh Circuit |
2020-09-03 |
Denied |
Amici (7) |
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… |
| 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… |
| 19-6607 |
Robert Allen Stanford v. Jay Clayton |
District of Columbia |
2019-11-13 |
Denied |
Response WaivedRelisted (2)IFP |
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 |
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 -… |
| 18-1566 |
Charles D. Scoville v. Securities and Exchange Commission |
Tenth Circuit |
2019-06-21 |
Denied |
Amici (1) |
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 |
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… |