| 25-531 |
Xeriant, Inc. v. Auctus Fund, LLC |
Second Circuit |
2025-10-31 |
Dismissed |
|
contract-rescission exempt-transaction private-right-of-action securities-exchange-act securities-law unregistered-dealer |
(a) Where a party has attained "unregistered dealer" status at the time of the contract, may that party enter a contract effecting the purchase of a c… |
| 24-1106 |
Joseph Mona v. Microbot Medical, Inc. |
Second Circuit |
2025-04-24 |
Denied |
Amici (1)Response Waived |
article-iii-standing business-judgment disgorgement securities-exchange-act shareholder-derivative-action short-swing-profits |
Whether an issuing corporation that neither alleged nor suffered actual injury has Article III standing to maintain an action for the disgorgement of … |
| 24-408 |
Raging Capital Management, LLC, et al. v. Brad Packer, Derivatively on Behalf of 1-800-Flowers.com, Inc. |
Second Circuit |
2024-10-11 |
Denied |
Amici (1)Response Waived |
article-iii fiduciary-duty securities-exchange-act standing-doctrine statutory-violation supreme-court-precedent |
1. Did the United States Court of Appeals for the Second Circuit apply the correct standard of law, under Article III of the United States Constitutio… |
| 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… |
| 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… |
| 22-924 |
John M. Fife v. Financial Industry Regulatory Authority, Inc. |
Second Circuit |
2023-03-22 |
Denied |
Response Waived |
administrative-law declaratory-judgment due-process exchange-act federal-jurisdiction finra-discipline securities-exchange-act securities-law standing subject-matter-jurisdiction |
Whether Congress impliedly stripped federal district courts of their "exclusive jurisdiction" to determine whether FINRA violates the Exchange Act whe… |
| 22-646 |
Sergey Pustelnik, et al. v. Securities and Exchange Commission |
Second Circuit |
2023-01-11 |
Denied |
Response Waived |
artificiality fraud intent legal-standard market-manipulation scienter securities-exchange-act securities-fraud securities-regulation |
Whether scienter alone may satisfy the tradition
ally separate artificiality requirement to establish
market manipulation? |
| 22-368 |
Victor Hong v. Securities and Exchange Commission, et al. |
Second Circuit |
2022-10-19 |
Denied |
Response Waived |
dodd-frank dodd-frank-act enforcement-action exchange-act monetary-sanctions sec securities-exchange-act securities-law securities-law-violation whistleblower whistleblower-incentive |
What is an "action" within the Exchange Act's securities whistleblower incentive program, 15 U.S.C. §78u-6(a)(1)? |
| 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 … |
| 21-580 |
Vitaly Korchevsky v. United States, et al. |
Second Circuit |
2021-10-20 |
Denied |
Response Waived |
criminal-indictment criminal-procedure due-process evidence grand-jury grand-jury-clause insider-trading material-nonpublic-information securities-exchange-act securities-fraud stock-trading |
1. The Grand Jury Clause of the United States Constitution states that "[n]o person shall be held to answer for a capital, or otherwise infamous crime… |
| 21-552 |
Edward D. Jones & Co., L.P., et al. v. Edward Anderson, et al. |
Ninth Circuit |
2021-10-15 |
Denied |
Amici (1) |
chadbourne-v-troice circuit-split covered-securities in-connection-with merrill-lynch-v-dabit securities-exchange-act securities-litigation slusa statutory-interpretation uniform-standards-act |
Whether the Ninth Circuit, in conflict with other Courts of Appeals, erred in concluding that Troice narrowed Dabit's interpretation of SLUSA's "in co… |
| 21-82 |
Alpine Securities Corporation v. Securities and Exchange Commission |
Second Circuit |
2021-07-21 |
Denied |
Amici (2) |
administrative-law agency-authority bank-secrecy-act enforcement-authority mens-rea sec-enforcement securities-and-exchange-commission securities-exchange-act statutory-interpretation treasury-department |
In enacting and amending the Bank Secrecy Act (BSA), Congress vested the Secretary of the Treasury with the authority to administer, interpret, and en… |
| 20-1364 |
BofI Holding, Inc., et al. v. Houston Municipal Employees Pension System |
Ninth Circuit |
2021-03-30 |
Denied |
Amici (1)Response RequestedResponse WaivedRelisted (2) |
basic-inc-v-levinson disclosure-standards dura-pharmaceuticals efficient-capital-markets-hypothesis efficient-market-hypothesis fraud-on-the-market investor-protection loss-causation market-price securities-exchange-act securities-fraud |
In Basic Inc. v. Levinson, 485 U.S. 224 (1988), this Court recognized the fraud-on-the-market presumption of reliance for private rights of action bro… |
| 20-862 |
Hui Feng, et al. v. Securities and Exchange Commission |
Ninth Circuit |
2020-12-30 |
Denied |
Response Waived |
antifraud-provisions broker-registration capital-raising investment-advisers-act-of-1940 sec-authority secondary-market secondary-market-transactions securities-act securities-exchange-act securities-exchange-act-of-1934 statutory-interpretation |
The questions presented are:
1. Whether the SEC exceeded its statutory authority under the Securities Exchange Act of 1934, which regulates secondary… |
| 20-5546 |
Rudolph Carryl v. United States |
Fourth Circuit |
2020-08-31 |
Denied |
Response WaivedIFP |
civil-procedure fraud fraud-definition sale sale-requirement sec-v-zandford securities-exchange-act securities-exchange-act-of-1934 securities-fraud standing statutory-interpretation zandford-precedent |
WHETHER VIOLATION OF §10(b) OF THE SECURITIES EXCHANGE ACT OF 1934 (15 U.S.C. §78j(b)) AND THE HOLDING OF SEC u. Zandford, 535 U.S. 813 (2002) HAS BEE… |
| 19-1141 |
Atlantic Trading USA, LLC, et al. v. BP P.L.C., et al. |
Second Circuit |
2020-03-18 |
Denied |
Amici (3) |
circuit-split commodity-exchange-act domestic-transaction extraterritorial-jurisdiction location-of-exchange morrison-test morrison-v-national-australia-bank securities-exchange-act stoyas-v-toshiba-corp territorial-application |
In Morrison v. National Australia Bank, Ltd., 561 U.S. 247, 259-60 (2010), this Court severely criticized the Second Circuit's so-called "conduct-and-… |
| 19-909 |
Dennis J. Malouf v. Securities and Exchange Commission |
Tenth Circuit |
2020-01-22 |
Denied |
Response Waived |
administrative-exhaustion appointments-clause claim-processing-rule equitable-exceptions investment-advisers-act jurisdictional-condition securities-exchange-act securities-law |
Numerous federal statutes require administrative exhaustion to preserve an issue for review by an Article III court. The Securities Exchange Act ("SEA… |
| 18-1566 |
Charles D. Scoville v. Securities and Exchange Commission |
Tenth Circuit |
2019-06-21 |
Denied |
Amici (1) |
civil-procedure criminal-prosecution dodd-frank-act due-process extraterritorial-jurisdiction extraterritorial-reach extraterritoriality federal-jurisdiction sec-enforcement securities-exchange-act securities-exchange-act-of-1934 securities-law securities-regulation statutory-interpretation subject-matter-jurisdiction |
Whether Section 929P(b)'s jurisdictional amendments conferred substantive extraterritorial reach upon Sections 10(b) and 17(a) in SEC enforcement acti… |
| 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 … |
| 18-1129 |
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 |
1. Whether a shareholder action under § 16(b) of
the Securities Exchange Act of 1934, 15 U.S.C.
§ 78p(b), must be dismissed for lack of jurisdiction
o… |
| 18-7225 |
Neil Gillespie v. Reverse Mortgage Solutions, Inc. |
Florida |
2019-01-03 |
Denied |
Response WaivedRelisted (2)IFP |
7th-amendment administrative-procedure buyer-incompetence civil-rights constitutional-challenge disciplinary-functions due-process federal-regulation foia foreclosure home-equity-conversion-mortgage hud-jurisdiction lawyers-guild mortgage-law nonlawyer-ownership older-americans-act privacy-rights pro-se-litigation securities-exchange-act securities-exchange-act-of-1934 standing the-florida-bar trial-by-jury unlicensed-practice-of-medicine void-for-vagueness voting-rights |
Is the federal HECM reverse mortgage program unconstitutional? This petition challenges the constitutionality of the federal Home Equity Conversion Mo… |
| 18-486 |
Toshiba Corporation v. Automotive Industries Pension Trust Fund, et al. |
Ninth Circuit |
2018-10-17 |
Denied |
CVSGAmici (9)Response RequestedResponse WaivedRelisted (3) |
circuit-split domestic-transaction domestic-transactions extraterritoriality forum-shopping legal-interpretation morrison-v-national-australia-bank ninth-circuit second-circuit securities-exchange-act securities-fraud securities-regulation |
In Morrison v. National Australia Bank, Ltd., 561 U.S. 247 (2010), this Court held that Section 10(b) of the Securities Exchange Act does not apply ex… |
| 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 the Ninth Circuit correctly held, in express disagreement with five other courts of appeals, that Section 14(e) of the Securities Exchange Act… |