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The FINRA case - a constitutional challenge to its structure brought by Utah-based Alpine Securities Corp - is currently before another federal appellate court and eventually could come to the ...
Lucia petitioned to the Supreme Court for writ of certiorari in July 2017; his petition presented the question of whether ALJs are officers of the United States and so are subject to the Appointments Clause. The Court granted the petition in January 2018 and set oral argument for April 23, 2018.
Lorenzo v. Securities and Exchange Commission, 587 U.S. ___ (2019), was a United States Supreme Court case from the October 2018 term.. The Supreme Court held that someone who disseminates false statements to potential investors with the intent to defraud those investors can be held liable under subsection b of Rule 10b-5 of the Securities Exchange Act of 1934, even if they personally were not ...
Corner Post, Inc. v. Board of Governors of the Federal Reserve System, 603 U.S. 799 (2024), is a United States Supreme Court case about the statute of limitations for judicial review of federal agency rulemaking under the Administrative Procedure Act. The legal question under review was whether a challenge to the validity of a rule must be ...
The Facebook dispute was one of two cases to come before the Supreme Court this month involving the right of private litigants to hold companies to account for alleged securities fraud. The other ...
O'Hagan, 521 U.S. 642 (1997), was a United States Supreme Court case concerning insider trading and breach of U.S. Securities and Exchange Commission Rule 10(b) and 10(b)-5. In an opinion written by Justice Ruth Bader Ginsburg , the Court held that an individual may be found liable for violating Rule 10(b)-5 by misappropriating confidential ...
Securities and Exchange Commission v. Jarkesy (Docket No. 22-859) [1] was a case before the Supreme Court of the United States.In May 2022, the Court of Appeals for the Fifth Circuit held, under certain statutory provisions, the Securities and Exchange Commission's administrative adjudication of fraud claims without jury trials in their administrative proceedings with their own administrative ...
The United States Court of Appeals for the Federal Circuit found a breach of contract and awarded damages—the Supreme Court upheld the lower court decision. "Winstar" cases resulted in multimillion-dollar payouts to plaintiffs. As of July 31, 2000, there were 13 settlements or judgments totaling $1.158 billion against the federal government ...