| 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… |
| 23-5153 |
Felix Lyle Cowan v. Greg Abbott, Governor of Texas, et al. |
Fifth Circuit |
2023-07-20 |
Denied |
Response WaivedIFP |
administrative-law civil-procedure howey-test investment-contract securities-exchange-act-of-1934 securities-regulation |
Question not identified. |
| 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… |
| 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… |
| 18-1050 |
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… |
| 18-7225 |
Neil Gillespie v. Reverse Mortgage Solutions, Inc. |
Florida |
2019-01-03 |
Dismissed |
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… |