| 23A416 |
Robinhood Financial LLC v. William F. Galvin, Secretary of the Commonwealth of Massachusetts, et al. |
Massachusetts |
2023-11-08 |
Presumed Complete |
|
broker-dealer fiduciary-duty investor-protection preemption regulatory-conflict sec-regulation |
Whether a state regulator may intentionally override a federal regulation. |
| 20-678 |
M&T Bank Corporation, et al. v. David Jaroslawicz, et al. |
Third Circuit |
2020-11-17 |
Denied |
Amici (2) |
compliance corporate-governance disclosure disclosure-obligations materiality public-company regulatory-compliance risk-factors sec-regulation securities-disclosure securities-regulation |
(1) Whether Item 105 of Regulation S-K, which obligates public companies to discuss material risk factors in registration statements, periodic SEC fil… |
| 19-1013 |
Darru K. Hsu v. UBS Financial Services, Inc. |
Ninth Circuit |
2020-02-14 |
Denied |
|
class-action controlling-question-of-law exculpatory-clause interlocutory-review appellate-jurisdiction arbitration civil-rights class-action due-process federal-arbitration-act investment-contract jurisdictional-challenge sec-regulation securities standing statutory-violation |
Question-1: Whether the Supreme Court should grant the judgment for the violation of SEC Heitman Capital No Action Letter in UBS MAC wrap-fee investme… |
| 19-5113 |
Sameer P. Sethi v. Securities and Exchange Commission |
Fifth Circuit |
2019-07-09 |
Denied |
Response WaivedIFP |
7th-amendment civil-procedure civil-rights corporate-liability due-process fraud investor-protection sec-regulation securities securities-law standing summary-judgment |
Did the District Court err in concluding on the record —and did the Appellate Court err in affirming —that the Defendant and his company lacked a busi… |