| 23-225 |
Keith M. Krupka, et al. v. Stifel Nicolaus & Co., Inc. |
Eighth Circuit |
2023-09-11 |
Denied |
|
civil-procedure class-action class-action-fairness-act federal-jurisdiction negligence securities securities-exception securities-law statutory-construction underwriter underwriter-liability |
Whether a state law negligence claim based solely on an underwriter's acts and omissions with respect to a securities offering document "relates to th… |
| 22-859 |
Securities and Exchange Commission v. George R. Jarkesy, Jr., et al. |
Fifth Circuit |
2023-03-09 |
Judgment Issued |
Amici (36)Relisted (2) |
administrative-enforcement administrative-law article-ii civil-penalties civil-rights due-process enforcement nondelegation-doctrine sec-proceedings securities seventh-amendment |
1. Whether statutory provisions that empower the
Securities and Exchange Commission (SEC) to initiate
and adjudicate administrative enforcement procee… |
| 20-284 |
Nicole Barone v. Wells Fargo Bank, N.A. |
Florida |
2020-09-03 |
Denied |
Response Waived |
civil-rights constitutional-property-rights due-process fannie-mae-liability foreclosure foreclosure-fraud government-takings securities securities-law-violation standing takings void-judgment |
1. Whether U.S. Government's wrongful possession of a tainted, unlawful void title due to clear violations of federal and Florida laws, including crim… |
| 19-1310 |
Craig R. Jalbert, in His Capacity as Trustee of the F2 Liquidating Trust v. Securities and Exchange Commission |
First Circuit |
2020-05-21 |
Denied |
Response Waived |
administrative-law agency-authority civil-rights disgorgement due-process judicial-review legislative-power penalty-enforcement securities separation-of-powers statutory-interpretation statutory-penalties |
Whether a federal government agency commits a structural separation-of-powers violation of exercising a legislative function when, in addition to expl… |
| 19-7728 |
Wayne English v. Energy Future Holdings Corp., et al. |
Third Circuit |
2020-02-21 |
Denied |
IFP |
chose-in-action civil-litigation civil-procedure civil-rights claims-transfer common-law contract corporate-securities damages mitigation mitigation-doctrine party-standing securities standing |
Are creditors and debtors, plaintiffs and defendants, and parties in interest allowed, required, or exempt from instituting the mitigation doctrine?
… |
| 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… |
| 19-6607 |
Robert Allen Stanford v. Jay Clayton |
District of Columbia |
2019-11-13 |
Denied |
Response WaivedRelisted (2)IFP |
civil-rights discretionary-function due-process extraterritorial extraterritorial-jurisdiction fourth-amendment search-and-seizure sec-enforcement securities sovereign-immunity |
This case involves an extraordinary, extra-statutory overreach of the Securities and Exchange Commission (SEC); a civil enforcement action taken by th… |
| 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? |
| 19-244 |
Isaacson/Weaver Family Trust v. Fresno County Employees' Retirement Association, et al. |
Second Circuit |
2019-08-23 |
Denied |
Response Waived |
attorney-fees civil-procedure class-action common-fund common-fund-settlement fee-shifting lodestar lodestar-method securities securities-law |
1. Do this Court's decisions defining "a reasonable attorney's fee" in fee-shifting cases also constrain a district court's discretion in awarding "re… |
| 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… |
| 19-2 |
Jackie Hosang Lawson v. FMR LLC, dba Fidelity Investments, et al. |
First Circuit |
2019-06-28 |
Denied |
|
attorney-fees civil-procedure civil-rights due-process expert-witness-testimony federal-securities-law federal-securities-laws fraud fraud-allegations jury-instruction jury-instructions legal-standards sarbanes-oxley-act securities |
Is the jury verdict just and proper on the two deciding questions whether "Fidelity's conduct could constitute violation of Federal law relating to fr… |
| 18-1471 |
Christopher Hall v. Securities and Exchange Commission |
Eleventh Circuit |
2019-05-24 |
Denied |
|
anti-fraud appellate-review civil-procedure due-process federal-rules-of-civil-procedure judgment-as-a-matter-of-law judgment-as-matter-of-law rule-50 securities securities-exchange-act securities-exchange-act-of-1934 securities-fraud standing |
Whether an appellate court has authority to consider challenges to issues of law raised in a pre-verdict Federal Rule of Civil Procedure 50(a) motion … |
| 18-1392 |
John M. Barone v. Wells Fargo Bank, N.A. |
Eleventh Circuit |
2019-05-06 |
Denied |
Response Waived |
civil-rights constitutional-property-rights constitutional-rights due-process fannie-mae federal-jurisdiction foreclosure foreclosure-fraud nemo-dat-quod-non-habet pro-se-litigation securities securities-law standing state-actor takings takings-clause |
Whether U.S. Government's unconstitutional involvement in millions of foreclosures through FHFA and de facto and entwined State-actor Fannie Mae subje… |
| 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… |