No. 18-1501
Charles C. Liu, et al. v. Securities and Exchange Commission
Tags: agency-enforcement disgorgement equitable-relief judicial-review kokesh-v-sec lower-court-precedent penalty sec-enforcement securities-law statutory-interpretation
Latest Conference:
2019-11-01
(distributed 4 times)
Question Presented (from Petition)
Whether the Securities and Exchange Commission may seek and obtain disgorgement from a court as "equitable relief" for a securities law violation even though this Court has determined that such disgorgement is a penalty.
Question Presented (AI Summary)
Whether the SEC may seek and obtain disgorgement from a court as equitable relief' for a securities law violation even though this Court has determined that such disgorgement is a penalty
Docket Entries
2020-07-24
JUDGMENT ISSUED.
2020-06-22
Judgment VACATED and case REMANDED. Sotomayor, J., delivered the opinion of the Court, in which Roberts, C. J., and Ginsburg, Breyer, Alito, Kagan, Gorsuch, and Kavanaugh, JJ., joined. Thomas, J., filed a dissenting opinion.
2020-03-03
Argued. For petitioners: Gregory G. Rapawy, Washington, D. C. For respondent: Malcolm L. Stewart, Deputy Solicitor General, Department of Justice, Washington, D. C.
2020-02-14
Reply of petitioners Charles C. Liu, et al. filed. (Distributed)
2020-01-22
Brief amici curiae of Former Commissioners and Staff of the Securities and Exchange Commission filed. (Distributed)
2020-01-22
Brief amicus curiae of North American Securities Administrators Association, Inc. filed. (Distributed)
2020-01-22
Brief amici curiae of Better Markets, Inc., et al. filed. (Distributed)
2020-01-22
Brief amici curiae of Members of Congress filed. (Distributed)
2020-01-21
Brief amici curiae of State of Illinois, et al. filed. (Distributed)
2020-01-21
CIRCULATED
2020-01-20
Brief amici curiae of Securities Law Professors filed. (Distributed)
2020-01-20
Brief amici curiae of Former Federal Trade Commission Officials filed. (Distributed)
2020-01-15
Brief of respondent Securities and Exchange Commission filed.
2020-01-09
The record of the USCA 9th Circuit is available on PACER. Sealed record material of the USDC Central District of California received electronically.
2020-01-09
Record requested from the U.S.C.A. 9th Circuit.
2019-12-23
Brief amici curiae of Remedies and Restitution Scholars in support of neither party filed.
2019-12-23
Brief amicus curiae of Cato Institute filed.
2019-12-23
Brief amicus curiae of The New Civil Liberties Alliance filed.
2019-12-23
Brief amici curiae of Parker R. Hallam and Frederick A. Voight filed.
2019-12-23
Brief amici curiae of Law Professors filed.
2019-12-23
Brief amicus curiae of Washington Legal Foundation filed.
2019-12-23
Brief amicus curiae of Chamber of Commerce of the United States of America filed.
2019-12-20
Brief amicus curiae of New England Legal Foundation filed.
2019-12-20
Brief amicus curiae of Securities Industry and Financial Markets Association filed.
2019-12-20
Brief amicus curiae of Andy Altahawi filed.
2019-12-20
Brief amicus curiae of Oak Management Corporation in support of neither party filed.
2019-12-20
Brief amicus curiae of Americans for Prosperity Foundation filed.
2019-12-16
Brief of petitioners Charles C. Liu, et al. filed.
2019-12-16
Joint appendix filed. (Statement of costs filed)
2019-11-26
SET FOR ARGUMENT on Tuesday, March 3, 2020.
2019-11-19
Blanket Consent filed by Petitioners, Charles C. Liu, et al.
2019-11-01
Petition GRANTED.
2019-10-28
DISTRIBUTED for Conference of 11/1/2019.
2019-10-15
DISTRIBUTED for Conference of 10/18/2019.
2019-10-08
Rescheduled.
2019-09-18
Reply of petitioners Charles C. Liu, et al. filed. (Distributed)
2019-09-18
DISTRIBUTED for Conference of 10/11/2019.
2019-09-04
Brief of respondent Securities and Exchange Commission in opposition filed.
2019-08-01
Motion to extend the time to file a response is granted and the time is extended to and including September 4, 2019.
2019-07-31
Motion to extend the time to file a response from August 5, 2019 to September 4, 2019, submitted to The Clerk.
2019-07-05
Response Requested. (Due August 5, 2019)
2019-06-19
DISTRIBUTED for Conference of 10/1/2019.
2019-06-13
Waiver of right of respondent Securities and Exchange Commission to respond filed.
2019-05-31
Petition for a writ of certiorari filed. (Response due July 3, 2019)
2019-03-22
Application (18A958) to extend the time to file a petition for a writ of certiorari from April 3, 2019 to May 31, 2019, submitted to Justice Kagan.
2019-03-22
Application (18A958) granted by Justice Kagan extending the time to file until May 31, 2019.
Attorneys
Americans for Prosperity Foundation
Andy Altahawi
Robert G. Heim — Tarter Krinsky & Drogin LLP, Amicus
Better Markets, Inc.; Center for Responsible Lending; National Consumer Law Center
Dennis Michael Kelleher — Better Markets, Inc., Amicus
Cato Institute
Chamber of Commerce of the United States of America
Adam G. Unikowsky — Jenner & Block LLP, Amicus
Charles C. Liu, et al.
Former Commissioners and Staff of the Securities and Exchange Commission
Former Federal Trade Commission Officials
David Charney Vladeck — Georgetown Law School, Amicus
Law Professors
Members of Congress
New England Legal Foundation
North American Securities Administrators Association, Inc.
Oak Management Corporation
Michael B. Kimberly — McDermott Will & Emery, Amicus
Parker R. Hallam and Frederick A. Voight
Remedies and Restitution Scholars
Securities and Exchange Commission
Noel J. Francisco — Solicitor General, Respondent
Securities Industry and Financial Markets Association
Securities Law Professors
State of Illinois
The New Civil Liberties Alliance
Washington Legal Foundation
Richard A. Samp — Washington Legal Foundation, Amicus