| 23-98 |
Gregory Lemelson, aka Father Emmanuel Lemelson, et al. v. Securities and Exchange Commission |
First Circuit |
2023-08-02 |
Denied |
|
first-amendment fraud free-speech market-speech material-misstatement rule-10b-5 sec-rule-10b-5 securities-exchange-act securities-exchange-act-of-1934 securities-law securities-regulation |
Section 10(b) of the Securities Exchange Act of 1934 prohibits any "manipulative or deceptive device or contrivance," as defined by Securities and Exc… |
| 21-642 |
Jehu Hand v. United States |
First Circuit |
2021-11-02 |
Denied |
Response Waived |
criminal-liability disclosure-requirements hype regulatory-interpretation resale-of-shares rule-10b-5 securities-exchange-act securities-law stock-fraud stock-price-crash total-mix-of-information |
Can criminal liability under Securities Exchange Act Rule 10b-5 lie when the "total mix" of information includes a warning that the public disclosure … |
| 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 |
(i) Whether the Variable Separate Account(s) of Pruco Life Insurance Company is registered with the Commission under the 1940 Act as a unit investment… |
| 18-1010 |
Joseph P. Hagan, et al. v. Karim Khoja |
Ninth Circuit |
2019-02-04 |
Denied |
Relisted (2) |
circuit-split corporate-disclosure corporate-issuer disclosure duty-to-update historical-fact material-misstatement materiality reliance rule-10b-5 sec-rule-10b-5 securities-law |
The U.S. Courts of Appeals are currently split on whether the federal securities laws impose a duty on corporate issuers to update a statement that wa… |
| 18-5253 |
Dennis DeCiancio v. United States |
Sixth Circuit |
2018-07-17 |
Denied |
Response WaivedIFP |
civil-rights criminal-procedure disclosure-duty due-process duty-to-disclose evidence evidence-admissibility federal-rules-of-evidence free-speech materiality prior-convictions rule-10b-5 securities securities-fraud |
Whether evidence of unrelated prior convictions is admissible in securities fraud cases as direct proof of a fraud under Rule 10b-5, even though there… |