| 25-6287 |
Marcus Brent Fields v. Pfizer Inc., et al. |
Second Circuit |
2025-12-04 |
Pending |
IFP |
corporate-ethics drug-development federal-violations pharmaceutical-liability regulatory-compliance securities-law |
a) Pfizer Defendands Knew there Courd ~ TO yotene Lot RA boy ,
Could ~ Cause more Sever and or Heard damage body orguns damage
eS pecially Ceeapmet Am… |
| 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… |
| 25-465 |
Timothy Barton v. Securities and Exchange Commission |
Fifth Circuit |
2025-10-16 |
Pending |
Amici (10)Response RequestedResponse Waived |
asset-seizure constitutional-limits due-process equitable-relief fifth-circuit securities-law |
The United States Government brought parallel crim-inal and civil enforcement actions against Petitioner Tim-othy Barton, alleging violations of the s… |
| 25-433 |
AST & Science LLC v. Delclaux Partners SA |
Eleventh Circuit |
2025-10-09 |
Denied |
Response Waived |
exchange-act federal-jurisdiction grable-standard jurisdictional-test merrill-lynch-precedent securities-law |
Whether the Supreme Court's decision in Manning should be revisited to determine if the "arising under" jurisdictional test should continue to be used… |
| 25A265 |
Timothy Barton v. Securities and Exchange Commission |
Fifth Circuit |
2025-09-05 |
Presumed Complete |
|
asset-seizure due-process equitable-relief preliminary-injunction receivership securities-law |
Question not identified. |
| 24-949 |
Navellier & Associates, Inc., et al. v. Securities and Exchange Commission |
First Circuit |
2025-03-05 |
Denied |
|
anti-fraud-provisions disgorgement investor-protection materiality-standard sec-enforcement securities-law |
1. Whether the Securities and Exchange Commission
("SEC") can seek, and the courts are authorized, under 15 U.S.C. §78u(d)(5) or §78u(d)(7) or Liu v.… |
| 24A759 |
Roman Storm v. United States District Court for the Southern District of New York |
Second Circuit |
2025-02-05 |
Presumed Complete |
|
blockchain criminal-charges cryptocurrency digital-assets financial-regulation securities-law |
Question not identified. |
| 24A701 |
Karl Hansen v. Elon Musk, et al. |
Ninth Circuit |
2025-01-16 |
Presumed Complete |
|
arbitration dean-witter-reynolds issue-preclusion protected-activity sarbanes-oxley securities-law |
Question not identified. |
| 24A622 |
Navellier & Associates, Inc., et al. v. Securities and Exchange Commission |
First Circuit |
2024-12-23 |
Presumed Complete |
|
circuit-split disgorgement equitable-remedy investor-protection sec-enforcement securities-law |
Question not identified. |
| 24-336 |
Binance, et al. v. JD Anderson, et al. |
Second Circuit |
2024-09-25 |
Denied |
Amici (1) |
comity-concerns extraterritoriality international-transactions judicial-test presumption-against-extraterritoriality securities-law |
In Morrison v. National Australia Bank Ltd., 561 U.S. 247, 267 (2010), this Court rejected the Second Circuit's multifactor "conduct and effects" test… |
| 24-224 |
Plumbers Local 290 Pension Trust Fund v. Root, Inc., et al. |
Sixth Circuit |
2024-08-29 |
Dismissed |
Relisted (2) |
circuit-split disclosure-standards materiality risk-factors sec-filing securities-law |
This petition presents a question nearly identical to that already before the Court in Facebook, Inc. v. Amalgamated Bank, No. 23-980. The circuits ha… |
| 24-52 |
Gunes Biray v. Securities and Exchange Commission |
District of Columbia |
2024-07-17 |
Denied |
Response Waived |
administrative-law administrative-procedure agency-deference agency-discretion appellate-review arbitrary-and-capricious due-process sec-enforcement securities-law securities-regulation whistleblower-protection |
Does the United States Securities and Exchange Commission (SEC) possess absolute immunity from appellate scrutiny when it arbitrarily or capriciously … |
| 23-1175 |
Malcolm H. Sage, Individually and in His Capacity as Partner or Joint Venturer of Sage Associates and Sage Realty v. Irving H. Picard, Trustee for the Liquidation of Bernard L. Madoff Investment Securities LLC |
Second Circuit |
2024-05-01 |
Denied |
Response Waived |
article-iii article-iii-court-power brokerage-account clawback-funds customer-net-equity madoff-fraud net-equity net-investment-method securities-law sipa sipc-trustee statutory-interpretation |
1. Does an Article III Court have the power to reject the statutory definition of "net equity" as set forth in 15 U.S.C. Section 78aaa et seq. by empl… |
| 23-670 |
Marc S. Kirschner, Solely in His Capacity as Trustee of the Millennium Lender Claim Trust v. JPMorgan Chase Bank, N.A., et al. |
Second Circuit |
2023-12-21 |
Denied |
Amici (2)Response Waived |
financial-regulation investment-instrument junk-bonds reves-standard reves-v-ernst-young secondary-markets securities-law statutory-interpretation syndicated-loans |
1. Whether notes issued as part of a syndicated loan are "securities" under the securities laws.
2. Whether the Court should revisit the Reves standa… |
| 23A431 |
Marc S. Kirschner, Solely in His Capacity as Trustee of the Millennium Lender Claim Trust v. JP Morgan Chase Bank, N.A., et al. |
Second Circuit |
2023-11-14 |
Presumed Complete |
|
family-resemblance investment-vehicle secondary-market securities-definition securities-law syndicated-loans |
1. This case presents the important question whether syndicated loans are "securities" within the meaning of the securities laws, and what legal stand… |
| 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… |
| 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… |
| 22-1241 |
Jocelyn M. Murphy, et al. v. Securities and Exchange Commission |
Ninth Circuit |
2023-06-27 |
Denied |
Amici (2) |
broker-registration due-process eighth-amendment fair-notice securities-exchange-act-1934 securities-law securities-laws securities-violations seventh-amendment statutory-penalty statutory-penalty-caps |
The Securities Exchange Act of 1934 empowers Respondent Securities and Exchange Commission ("SEC") to seek, and district courts to impose, putatively … |
| 22-1073 |
Team Resources Incorporated, et al. v. Securities and Exchange Commission |
Fifth Circuit |
2023-05-04 |
Denied |
Response Waived |
civil-penalty disgorgement due-process eighth-amendment evidentiary-hearing federal-court securities-and-exchange-commission securities-law |
Whether a federal court may grant a disgorgement
request from the Securities and Exchange Commission
without granting a defendant's request for a live… |
| 22-991 |
George R. Jarkesy, Jr., et al. v. Securities and Exchange Commission |
Fifth Circuit |
2023-04-12 |
Denied |
Relisted (2) |
administrative-law agency-adjudication circuit-court-jurisdiction due-process judicial-review jurisdiction securities-law securities-regulation statutory-interpretation |
Whether, under special review statute 15 U.S.C. § 78y, circuit courts on a petition for review of a Securities and Exchange Commission final order res… |
| 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… |
| 22-368 |
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 … |
| 20-1652 |
Meghan Belaski, et al. v. Securities and Exchange Commission |
District of Columbia |
2021-05-26 |
Denied |
Response Waived |
confidential-information double-jeopardy fifth-amendment intellectual-property related-action securities-exchange-commission securities-law takings-clause whistleblower whistleblower-award |
Do the statutory rules of the Securities and Exchange Commission, in order
to qualify for whistleblower award, violate the Double Jeopardy Clause in t… |
| 20-866 |
Francesca Allen, et al. v. Wells Fargo & Company, et al. |
Eighth Circuit |
2020-12-30 |
Denied |
Relisted (4) |
duty-of-loyalty duty-of-prudence employee-stock-ownership-plan erisa fiduciary-duty fifth-third-v-dudenhoeffer insider-trading prudence-standard securities-law securities-laws stock-ownership |
1. Whether, under Dudenhoeffer, ESOP fiduciaries are effectively immune from duty-of-prudence liability for the failure to publicly disclose inside in… |
| 20-868 |
Foxfield Villa Associates, LLC, et al. v. Paul Robben, et al. |
Tenth Circuit |
2020-12-30 |
Denied |
Response Waived |
circuit-split general-partnership howey-test investment-contract investment-contracts limited-liability-company limited-partnership promoter-control securities-law |
Paul Robben fraudulently induced Rich Bartlett and his wife Dena along with Ernie Straub ("Straub") to invest in Robben's real estate venture called F… |
| 20-404 |
In Re John Masiz |
|
2020-09-28 |
Denied |
|
5th-amendment article-ii article-iii civil-rights consent-decree due-process fifth-amendment securities-law sua-sponte |
This matter concerns the constitutional limits on the authority of the federal court to exercise, sua sponte, in the absence of a case or controversy … |
| 20-306 |
Robert Olan and Theodore Huber v. United States |
Second Circuit |
2020-09-09 |
GVR |
Amici (2) |
conversion criminal-procedure dirks-v-sec fraud fraud-statute government-regulation insider-trading personal-benefit property-rights securities-law |
1. Whether information about a proposed government regulation is "property" or a "thing of value" belonging to a federal, state, or local regulator su… |
| 20-289 |
Retirement Plans Committee of IBM, et al. v. Larry W. Jander, et al. |
Second Circuit |
2020-09-04 |
Denied |
|
corporate-disclosure disclosure employee-stock-ownership-plan erisa fiduciary-duty fraud fraud-disclosure insider-information securities-law |
1. Whether Dudenhoeffer's "more harm than good" standard can be satisfied by generalized allegations that the harm of an inevitable disclosure of an a… |
| 20-5141 |
Daniel Harold Williford v. United States |
Fourth Circuit |
2020-07-22 |
Denied |
Response WaivedIFP |
equitable-tolling family-resemblance-test federal-securities fraud iou-agreement private-transaction private-transactions securities-law state-statutes |
The Securities Act of 1934, 15 U.S.C. § 78, et seq., provides a broad but not all-inclusive definition of "security". This Court has previously recogn… |
| 19-1096 |
Multiventas y Servicios, Inc., et al. v. Oriental Bank |
Puerto Rico |
2020-03-06 |
Denied |
|
credit-default-swap due-process foreclosure foreclosure-standing jurisdiction mortgage-securitization note-ownership promissory-note securities-law securitization standing standing-to-sue ucc-section-3 ucc-section-8 uniform-commercial-code |
1. In an action for collection of monies and foreclosure where the plaintiff is neither owner, nor holder, nor possessor of the promissory note, if th… |
| 19-7714 |
Angelique de Maison v. Securities and Exchange Commission |
Second Circuit |
2020-02-20 |
GVR |
Relisted (3)IFP |
disgorgement enforcement-action equitable-relief liu-v-sec penalty securities-law standing supreme-court |
Whether, as this Court will be deciding in the petition now before the Court in Liu v. Securities & Exchange Commission, 754 F. App'x 505 (9th Cir. 20… |
| 19-978 |
Team Resources Incorporated, et al. v. Securities and Exchange Commission |
Fifth Circuit |
2020-02-04 |
GVR |
Relisted (3) |
disgorgement equitable-remedy federal-court penalty penalty-analysis sec sec-enforcement securities-law securities-violations |
Whether the Securities and Exchange Commission may obtain disgorgement from a federal court as an equitable remedy for securities violations despite t… |
| 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… |
| 19-878 |
Guy Gentile v. Securities and Exchange Commission |
Third Circuit |
2020-01-15 |
Denied |
|
administrative-enforcement administrative-law circuit-split civil-penalties civil-procedure injunctions injunctive-relief penalty-bar securities-law statute-of-limitations |
Does the five-year statute of limitations in 28 U.S.C. § 2462 apply to "obey the law" injunctions and penny stock industry bars pursuant to 15 U.S.C. … |
| 19-595 |
Eric O'Day, et al., Individually and on Behalf of the SunEdison, Inc. Retirement Savings Plan v. Ahmad Chatila, et al. |
Second Circuit |
2019-11-06 |
Denied |
Relisted (2) |
asset-management context-sensitive-scrutiny erisa erisa-fiduciary-duty fiduciary-duty heightened-pleading-standard inside-information pleading-requirements prudence prudence-standard publicly-traded publicly-traded-assets securities-law |
Whether Dudenhoeffer's "context-sensitive scrutiny of a complaint's allegations" can be met where a court presumes an asset must be prudent if it is p… |
| 19-408 |
Garey R. Nehrke v. Wells Fargo Bank, N.A. |
Florida |
2019-09-26 |
Denied |
Response Waived |
constitutional-rights federal-jurisdiction federal-jurisdiction-banking foreclosure-fraud gse-state-actors gses mortgage-securitization national-bank-act national-banks securities-law state-actors state-preemption takings-clause whistleblower-retaliation |
1. Whether Wells Fargo and others under National Bank Act, 12 U.S.C. 1 et seq. exclusive federal regulation and pre-emption, along with restrictions o… |
| 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… |
| 19-5397 |
Charles Donelson v. Q. Tanner, et al. |
Seventh Circuit |
2019-07-30 |
Denied |
IFP |
audit-standard circuit-split civil-rights class-action criminal-procedure discovery due-process evidence fraud fraud-on-the-market free-speech securities-law standing supreme-court-precedent takings |
Whether The Seventh circuit prisoner lawsuit forms for District court create a fraudulent Execution or Information
Whether the seventh circuit applic… |
| 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… |
| 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… |
| 18-1501 |
Charles C. Liu, et al. v. Securities and Exchange Commission |
Ninth Circuit |
2019-06-03 |
Judgment Issued |
Amici (19)Response RequestedResponse WaivedRelisted (4) |
agency-enforcement disgorgement equitable-relief judicial-review kokesh-v-sec lower-court-precedent penalty sec-enforcement securities-law statutory-interpretation |
Whether the Securities and Exchange Commission may seek and obtain disgorgement from a court as "equitable relief" for a securities law violation even… |
| 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… |
| 18-1050 |
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… |
| 18-1010 |
Joseph P. Hagan, et al. v. Karim Khoja |
Ninth Circuit |
2019-02-04 |
Denied |
Relisted (2) |
circuit-split corporate-disclosure corporate-issuer disclosure duty-to-update historical-fact material-misstatement materiality reliance rule-10b-5 sec-rule-10b-5 securities-law |
The U.S. Courts of Appeals are currently split on whether the federal securities laws impose a duty on corporate issuers to update a statement that wa… |
| 18-972 |
Mathew Martoma v. United States |
Second Circuit |
2019-01-28 |
Denied |
Amici (2) |
corporate-disclosure dirks-v-sec fiduciary-duty insider-trading personal-benefit securities-law securities-regulation tippee tippee-liability tipper |
Whether, in an insider trading prosecution, the government must demonstrate that the tipper received a personal benefit in exchange for providing insi… |
| 18-7154 |
John Visconti v. United States |
Ninth Circuit |
2018-12-20 |
Denied |
Response WaivedIFP |
boulware-precedent boulware-v-united-states corporate-fraud corporate-governance corporate-stock criminal-law criminal-procedure distribution-interpretation legal-classification return-of-capital securities-law shareholder-rights statutory-interpretation stock-distribution tax-evasion unlawful-diversion |
Whether an unlawful diversion may be deemed a "distribution . . . with respect to [a corporation's] stock," the question expressly left open in Boulwa… |
| 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… |
| 18-65 |
David Aronstein, et al. v. Thompson Creek Metals Company, Inc., et al. |
Tenth Circuit |
2018-07-12 |
Denied |
Response Waived |
administrative-law civil-procedure corporate-misrepresentation disclosure disclosure-requirements due-process investor-communications material-omission materiality sec sec-disclosure securities-law securities-regulation securities-regulation-sec united-states-v-ohagan |
The United States Securities and Exchange Commission ("SEC"), through its regulatory releases under Item 303, has defined the circumstances under whic… |