securities-violations
2 cases — ← All topics
| Case | Title | Lower Court | Docketed | Status | Flags | Tags | Question Presented |
|---|---|---|---|---|---|---|---|
| 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 … |
| 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… |