| 22-1241 |
Jocelyn M. Murphy, et al. v. Securities and Exchange Commission |
Ninth Circuit |
2023-06-27 |
Denied |
Amici (2) |
broker-registration due-process eighth-amendment fair-notice securities-exchange-act-1934 securities-law securities-laws securities-violations seventh-amendment statutory-penalty statutory-penalty-caps |
Whether the courts below exceeded the statutory penalty caps established by Congress 'for each violation' of the securities laws, depriving Petitioner… |
| 22-1165 |
Macquarie Infrastructure Corporation, et al. v. Moab Partners, L.P., et al. |
Second Circuit |
2023-06-01 |
Judgment Issued |
Amici (11)Response Waived |
circuit-split item-303 item-303-disclosure material-fact private-right-of-action sec-regulation-s-k sec-rule-10b-5 section-10b securities-exchange-act securities-exchange-act-1934 |
Whether the Second Circuit erred in holding—in conflict with the Third, Ninth, and Eleventh Circuits— that a failure to make a disclosure required und… |
| 18-1129 |
Cadian Capital Management, LP, et al. v. Terry Klein, et al. |
Second Circuit |
2019-02-28 |
Dismissed |
|
article-iii-jurisdiction circuit-split civil-procedure federal-rule-civil-procedure jurisdiction jurisdictional-standing mootness plaintiff-substitution rule-17-substitution rule-17(a)(3) rule-17a3 securities-exchange-act securities-exchange-act-1934 securities-exchange-act-of-1934 shareholder-action shareholder-derivative-action standing substitution |
Whether a shareholder action under § 16(b) of the Securities Exchange Act of 1934 must be dismissed for lack of jurisdiction once the sole plaintiff h… |
| 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… |
| 18-459 |
Emulex Corporation, et al. v. Gary Varjabedian, et al. |
Ninth Circuit |
2018-10-11 |
Judgment Issued |
Amici (11) |
circuit-split misstatement-omission negligent-misstatement ninth-circuit private-right-of-action section-14(e) securities-exchange-act securities-exchange-act-1934 securities-law tender-offer |
Whether Section 14(e) of the Securities Exchange Act of 1934 supports an inferred private right of action based on a negligent misstatement or omissio… |