| 24-904 |
Alpine Securities Corporation v. Financial Industry Regulatory Authority, et al. |
District of Columbia |
2025-02-24 |
Denied |
Amici (1) |
administrative-law constitutional-structure finra-enforcement non-delegation-doctrine prosecutorial-discretion securities-regulation |
Petitioner is a securities broker-dealer that is the target of an enforcement proceeding brought by FINRA—a putatively "private" organization vested b… |
| 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 … |
| 23-6835 |
R. Allen Stanford v. Ralph S. Janvey, et al. |
Fifth Circuit |
2024-02-27 |
Denied |
Response WaivedRelisted (2)IFP |
civil-enforcement district-court-jurisdiction equity-receiver equity-receivership federal-civil-procedure federal-venue general-jurisdiction securities-enforcement securities-regulation ultra-vires venue-laws |
This petition for Writ of Certiorari involves a civil enforcement complaint filed by the Securities and Exchange Commission against the globally situa… |
| 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. |
| 23-5086 |
Betsy Sachs v. Financial Industry Regulatory Authority |
First Circuit |
2023-07-12 |
Denied |
Response WaivedRelisted (2)IFP |
administrative-law civil-rights constitutional-constraints due-process executive-power finra-immunity non-delegation-doctrine private-delegation quasi-governmental quasi-governmental-entity securities-regulation |
1. DOES FINRA HAVE IMMUNITY?
2. DOES THE REGULATION OF US SECURITIES PROFESSIONALS REMAIN A PRIVATE ENTERPRISE FREE FROM THE CONSTITUTIONAL CONSTRAIN… |
| 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… |
| 22-646 |
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? |
| 22-568 |
Jeffrey A. Cochran v. The Penn Mutual Life Insurance Company, et al. |
Eleventh Circuit |
2022-12-20 |
Denied |
Response Waived |
artful-pleading circuit-split class-action federal-preemption material-fact material-facts misrepresentation securities-litigation securities-litigation-uniform-standards-act securities-regulation slusa |
1. Whether SLUSA bars a state-law class action "alleging a misrepresentation or omission of a material fact" when the complaint contains no such alleg… |
| 22-5098 |
Arthur Torlucci v. California |
California |
2022-07-13 |
Denied |
Relisted (2)IFP |
administrative-law agency-adjudication appointments-clause civil-rights due-process judicial-review legal-standard lower-court-ruling protected-activity securities-regulation separation-of-powers statutory-interpretation |
Question not identified. |
| 21-1239 |
Securities and Exchange Commission, et al. v. Michelle Cochran |
Fifth Circuit |
2022-03-11 |
Judgment Issued |
Amici (11)Relisted (2) |
administrative-law administrative-law-judge civil-procedure constitutional-challenge constitutional-law district-court-jurisdiction federal-jurisdiction removal-provisions sec-administrative-proceeding securities-regulation separation-of-powers statutory-interpretation |
Whether a federal district court has jurisdiction to hear a suit in which the respondent in an ongoing Securities and Exchange Commission administrati… |
| 21-594 |
Alphabet Inc., et al. v. Rhode Island, Office of the Rhode Island Treasurer on Behalf of the Employees' Retirement System of Rhode Island |
Ninth Circuit |
2021-10-25 |
Denied |
Amici (2)Response RequestedResponse WaivedRelisted (2) |
annual-filing circuit-split disclosure-requirements forward-looking past-information quarterly-report risk-factors sec-regulations securities-disclosure securities-regulation |
Securities and Exchange Commission regulations require companies to disclose in their annual and quarterly filings "risk factors" that may affect thei… |
| 20-678 |
M&T Bank Corporation, et al. v. David Jaroslawicz, et al. |
Third Circuit |
2020-11-17 |
Denied |
Amici (2) |
compliance corporate-governance disclosure disclosure-obligations materiality public-company regulatory-compliance risk-factors sec-regulation securities-disclosure securities-regulation |
(1) Whether Item 105 of Regulation S-K, which obligates public companies to discuss material risk factors in registration statements, periodic SEC fil… |
| 19-1015 |
Jeremy J. Walker v. Ameriprise Financial Services, Incorporated |
Fifth Circuit |
2020-02-14 |
Denied |
Response Waived |
9-usc-10 arbitration-agreement arbitrator-powers federal-arbitration-act finra finra-code industry-code industry-dispute judicial-review mandatory-arbitration nasd securities-regulation |
1. Does the FINRA Industry Code supply the terms of the arbitration agreement governing a mandatory arbitration between a member (such as Ameriprise) … |
| 19-643 |
John Hurry, et al. v. Financial Industry Regulatory Authority, Inc., et al. |
Ninth Circuit |
2019-11-19 |
Denied |
Response RequestedResponse WaivedRelisted (2) |
civil-rights constitutional-law due-process finra immunity law-enforcement-powers private-corporation regulatory-authority securities-industry securities-regulation state-action state-actor tort-immunity |
1. Whether FINRA, an ostensibly private corporation invested with vast powers to regulate the securities industry, is absolutely immune from any claim… |
| 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? |
| 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… |
| 18-972 |
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… |
| 18-486 |
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… |
| 18-65 |
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… |