securities-act-of-1933

2 cases — ← All topics

Case Title Lower Court Docketed Status Flags Tags Question Presented
19-249 Kevin Lampkin, et al. v. UBS Financial Services, Incorporated, fka UBS Painewebber, Incorporated, et al. Fifth Circuit 2019-08-26 Denied Response Waived cendant-cases civil-procedure employee-compensation employee-stock-options fifth-circuit sale-definition sale-of-securities securities securities-act securities-act-of-1933 securities-regulation standing stock-option supervisory-powers Is the grant of an employee stock option a 'sale' of a security under the Securities Act of 1933?
18-1050 Michael H. Wu, et ux. v. Prudential Financial, Inc., et al. Seventh Circuit 2019-02-11 Denied Response WaivedRelisted (2) fraud investment-company investment-company-act-1940 investment-company-act-of-1940 material-misstatement registration-requirement rule-10b-5 sales-literature securities-act-1933 securities-act-of-1933 securities-exchange-act-1934 securities-exchange-act-of-1934 securities-law securities-registration unit-investment-trust Whether the Variable Separate Account(s) of Pruco Life Insurance Company is registered with the Commission under the 1940 Act as a unit investment tru…