| 25-977 |
Johnson & Johnson, et al. v. San Diego County Employees Retirement Association, et al. |
Third Circuit |
2026-02-18 |
Pending |
|
Basic-Inc-v-Levinson class-certification corrective-disclosure efficient-market-hypothesis inflation-maintenance-theory securities-fraud |
Securities-fraud class actions overwhelmingly rely on the "inflation-maintenance" theory, which posits that misrepresentations maintain an inflated st… |
| 25-837 |
Faraday Hosseinipour v. United States |
Sixth Circuit |
2026-01-15 |
Denied |
Response Waived |
conspiracy intent-to-defraud mail-fraud pyramid-scheme securities-fraud sixth-circuit |
1. Whether by establishing a pyramid scheme, the Government can shortcut its burden of proving the necessary elements of conspiracy to commit mail fra… |
| 25A744 |
Johnson & Johnson, et al. v. San Diego County Employees Retirement Association, et al. |
Third Circuit |
2025-12-23 |
Application |
|
basic-presumption class-certification corrective-disclosure market-efficiency price-impact securities-fraud |
1. This case warrants the Court's review because it presents an ideal vehicle for the Court to resolve two related splits of authority about the prope… |
| 25A623 |
Faraday Hosseinipour v. United States |
Sixth Circuit |
2025-11-26 |
Application |
|
conspiracy intent-to-defraud mail-fraud mens-rea multi-level-marketing securities-fraud |
Question not identified. |
| 25-391 |
Citigroup Inc. v. Otto Candies, LLC, et al. |
Eleventh Circuit |
2025-10-02 |
Denied |
Amici (2) |
circuit-split civil-litigation pslra racketeer-influenced rico securities-fraud |
In the Private Securities Litigation Reform Act (PSLRA), Congress barred plaintiffs from bringing claims under the Racketeer Influenced and Corrupt Or… |
| 25-351 |
Shanda Games Limited, et al. v. David Monk |
Second Circuit |
2025-09-24 |
Denied |
Amici (2)Response Waived |
class-action fraud-on-the-market investor-reliance market-efficiency presumption-of-reliance securities-fraud |
In Basic Inc. v. Levinson, 485 U.S. 224 (1988), this Court recognized a rebuttable fraud-on-the-market presumption for establishing reliance in a secu… |
| 24A1244 |
Shanda Games Limited, et al. v. David Monk |
Second Circuit |
2025-06-17 |
Presumed Complete |
|
efficient-market fraud-on-the-market merger-transaction proxy-statement securities-fraud shareholder-rights |
Question not identified. |
| 24-1151 |
BDO USA, LLP v. New England Carpenters Guaranteed Annuity and Pension Funds, et al. |
Second Circuit |
2025-05-09 |
Denied |
Amici (5)Response RequestedResponse WaivedRelisted (2) |
auditing-standards fact-specific-analysis financial-misstatement materiality-standard professional-compliance securities-fraud |
Whether the materiality requirement for securities fraud liability is satisfied per se by an auditor's statement of compliance with professional stand… |
| 23-980 |
Facebook, Inc., et al. v. Amalgamated Bank, et al. |
Ninth Circuit |
2024-03-06 |
Judgment Issued |
Amici (13)Relisted (2) |
circuit-split disclosure federal-rules-of-civil-procedure loss-causation materiality pleading-standard risk-disclosure securities-fraud |
This petition presents two important questions that have divided the federal courts of appeals. First, the circuits have split three ways concerning w… |
| 23-970 |
NVIDIA Corporation, et al. v. E. Ohman J:or Fonder AB, et al. |
Ninth Circuit |
2024-03-06 |
Judgment Issued |
Amici (18)Relisted (2) |
class-action expert-opinion falsity falsity-allegations internal-documents pleading-requirements pslra scienter securities-fraud |
1. Whether plaintiffs seeking to allege scienter under the PSLRA based on allegations about internal company documents must plead with particularity t… |
| 23A578 |
NVIDIA Corporation, et al. v. E. Ohman J:or Fonder AB, et al. |
Ninth Circuit |
2023-12-22 |
Presumed Complete |
|
class-action expert-testimony pleading-standards pslra scienter securities-fraud |
Question not identified. |
| 23-5405 |
David Petersen v. United States |
Eleventh Circuit |
2023-08-22 |
Denied |
Response WaivedIFP |
abuse-of-discretion constitutional-rights court-errors due-process fourteenth-amendment integrity-of-judicial-process judicial-discretion judicial-process material-errors securities-fraud |
Question 1. Is it a violation of due process when any court, upon becoming formally aware of multiple material abuses of discretion and material error… |
| 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? |
| 22-6108 |
Jose Luis Ramirez, Jr., aka Zachary Matthew Johnson v. United States |
Fourth Circuit |
2022-11-18 |
Denied |
Response WaivedIFP |
appeal-waiver criminal-conviction criminal-procedure fourth-circuit ineffective-assistance-of-counsel money-laundering plea-agreement plea-bargaining securities-fraud |
1. WHETHER THE UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT ERRED IN DISMISSING THE PETITIONER'S MERITORIOUS APPEAL OF HIS CONVICTION OF SECU… |
| 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… |
| 21-5098 |
Hal Herring Brown, Jr. v. United States |
Fourth Circuit |
2021-07-15 |
Denied |
Response WaivedIFP |
appeal-waiver criminal-procedure fourth-circuit ineffective-assistance ineffective-assistance-of-counsel money-laundering plea-agreement plea-bargaining securities-fraud |
WHETHER THE UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT ERRED IN DISMISSING THE PETITIONER'S MERITORIOUS APPEAL OF HIS CONVICTION FOR SECURI… |
| 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… |
| 20-5546 |
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… |
| 19-1197 |
GwanJun Kim v. City of Ionia, Michigan, et al. |
Sixth Circuit |
2020-04-04 |
Denied |
Response Waived |
aiding-and-abetting civil-procedure collateral-review exclusive-possession false-claims-act federal-cause-of-action legal-standards pleading-standards retroactivity rule-9b section-10b securities-fraud |
In this case THE PETITION for that "a United States court of appeals has entered a decision in conflict with the decision of' "Complaint in this actio… |
| 19-495 |
Martin Shkreli v. United States |
Second Circuit |
2019-10-16 |
Denied |
Response Waived |
bank-fraud forfeiture-calculation good-faith good-faith-defense jury-instruction jury-instructions loss-causation mail-fraud materiality mens-rea no-ultimate-harm prosecutorial-standard securities-fraud statutory-interpretation wire-fraud |
In prosecutions for mail, wire and bank fraud, which require a finding of a loss or an intended loss by the victim, a "no ultimate harm" instruction h… |
| 19-440 |
Northern Trust Corporation, et al. v. Lindie L. Banks, et al. |
Ninth Circuit |
2019-10-02 |
Denied |
Amici (2)Response RequestedResponse WaivedRelisted (2) |
circuit-split class-action covered-securities federal-securities-law fiduciary-duty preemption private-securities-litigation-reform-act securities-fraud securities-litigation securities-litigation-uniform-standards-act statutory-interpretation trust-assets trust-law trustee-misconduct uniform-standards-act |
For purposes of SLUSA, does a trust beneficiary allege misconduct "in connection with" the purchase or sale of a covered security when the beneficiary… |
| 19-97 |
Mitchell Jay Stein v. Securities and Exchange Commission |
Ninth Circuit |
2019-07-19 |
Denied |
Response Waived |
circuit-split civil-procedure collateral-estoppel jury-trial offensive-collateral-estoppel securities-fraud seventh-amendment summary-judgment |
This Court has repeatedly instructed that the use of collateral estoppel is limited to situations where "the issues in the two cases are … identical,"… |
| 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 … |
| 18-1165 |
Retirement Plans Committee of IBM, et al. v. Larry W. Jander, et al. |
Second Circuit |
2019-03-08 |
Judgment Issued |
Amici (8)Relisted (2) |
amgen-v-harris circuit-split erisa erisa-fiduciary-duty fiduciary-duty fifth-third-standard fifth-third-v-dudenhoeffer insider-information pleading-standard private-securities-litigation-reform-act prudence prudent-fiduciary securities-fraud securities-litigation |
Whether Fifth Third's "more harm than good" pleading standard can be satisfied by generalized allegations that the harm of an inevitable disclosure of… |
| 18-7816 |
Jason Brooks v. Phil Weiser, Attorney General of Colorado, et al. |
Colorado |
2019-02-07 |
Denied |
IFP |
constitutional-law criminal-intent criminal-securities-fraud due-process fair-notice mens-rea scienter securities-fraud statutory-interpretation strict-liability willfulness |
Whether "scienter" is an element of criminal securities fraud and whether its existence is a question of fact that must be proven beyond a reasonable … |
| 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… |
| 18-210 |
BATS Global Markets, Inc., et al. v. City of Providence, Rhode Island, et al. |
Second Circuit |
2018-08-17 |
Denied |
Response Waived |
aiding-and-abetting independent-choice market-manipulation primary-violator rigged-prices securities-fraud securities-fraud-claim third-party-liability trading-activity wash-sales |
In Central Bank of Denver, N.A. v. First Interstate Bank of Denver, N.A., 511 U.S. 164 (1994), this Court held that the Securities Exchange Act does n… |
| 18-164 |
First Solar, Inc., et al. v. Mineworkers' Pension Scheme, et al. |
Ninth Circuit |
2018-08-06 |
Denied |
CVSGAmici (2)Relisted (2) |
disclosure fraud fraud-claim loss-causation market-price private-plaintiff securities-fraud standing |
Whether a private securities-fraud plaintiff may establish the critical element of loss causation based on a decline in the market price of a security… |
| 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… |