Cases

PER CURIAM: Plaintiff-Appellant Steven Altman, an attorney admitted to practice in New York, appeals from an order of the district court (Holwell, /.) dismissing his complaint for lack of subject matter jurisdiction because Section 25(a) of the Securities Exchange Act of 1934 provides a comprehensive remedial scheme that required Altman to appeal an SEC debarment order to a court

McCONNELL, Circuit Judge. Michael A. Rooms petitions for review of an order of the Securities and Exchange Commission (SEC) upholding disciplinary action taken against him by the National Association of Securities Dealers (NASD). The NASD permanently barred him from the securities industry. The SEC found that Mr. Rooms deliberately sought to deceive the NASD during an examinat

UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA SECURITIES AND EXCHANGE COMIS- SION, Plaintiff, Civil Action No. 24-2198 (TJK) v. JUAN CAMPO, Defendant. MEMORANDUM OPINION In July 2024, the Securities and Exchange Commission sued Juan Campo for several stat- utory and regulatory violations he

UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Civil Action No. 21-1869 (ACR) MIKHAIL KOKORICH, Defendant. MEMORANDUM OPINION AND ORDER Plaintiff Securities and Exchange Commission (“SEC”) brings this action against Defendant Mikhail Kokorich un

21-529 Hong v. Securities and Exchange Commission 1 2 In the 3 United States Court of Appeals 4 For the Second Circuit 5 ______________ 6 7 August Term 2021 8 9 (Argued: February 15, 2022 Decided: July 21, 2022) 10 11

Judge CALABRESI dissents in a separate opinion. JOSÉ A. CABRANES, Circuit Judge: This appeal requires us to interpret the automatic stay provision of the Bankruptcy Code, an exception to that provision, and an exception to that exception. Specifically, the question presented, as a matter of first impression, is whether an order obtained by the Securities and Exchange Commission (the “SEC”

FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES SECURITIES No. 23-2699 AND EXCHANGE COMMISSION, D.C. No. 2:15-cv-02563- Plaintiff - Appellee, DDP-AS v. OPINION BRENDA CHRISTINE BARRY; ERIC CHRISTOPHER CANNON; CALEB AUSTIN MOODY, DBA Sky Stone, Defendants

FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES SECURITIES No. 24-3830 AND EXCHANGE COMMISSION, D.C. No. 3:20-cv-01864-H- Plaintiff - Appellee, DTF v. ONGKARUCK SRIPETCH, OPINION Defendant - Appellant, and AMANDA FLORES, BREHNEN KNIGHT, ANDREW MCALPINE, ASHMIT PATEL, M

UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA ENERGY POLICY ADVOCATES, : : Plaintiff, : Civil Action No.: 23-507 (RC) : v. : Re Document No.: 15 : SECURITIES

19-3272 United States Securities and Exchange Commission v. Alpine Securities Corporation In the United States Court of Appeals For the Second Circuit ________ AUGUST TERM, 2019 ARGUED: MARCH 31, 2020 DECIDED: DECEMBER 4, 2020 No. 19-3272

16-3433 Gonnella v. Securities and Exchange Commission In the United States Court of Appeals For the Second Circuit ______________ AUGUST TERM 2019 (Argued: September 9, 2019 Decided: April 2, 2020) Docket No. 16-3433

OPINION D.W. NELSON, Senior Circuit Judge. Kevin McCarthy and Thomas Blodgett appeal the district court’s order granting the Application of the United States Securities and Exchange Commission (the “Commission”) seeking enforcement of a Commission order. The Commission affirmed a disciplinary decision of the National Association of Securities Dealers (“N

Opinion for the Court filed by Circuit Judge D.H. GINSBURG. D.H. GINSBURG, Circuit Judge: Several securities broker-dealers and their customers petition for review of three orders that the Securities Exchange Commission issued on October 10,1991 pursuant to § 19(b) of the Securities Exchange Act of 1934, as amended. Two of the orders approved new rules for

Opinion for the Court filed by Circuit Judge ROGERS. ROGERS, Circuit Judge. Appellants Jack and Robin Lavin appeal from an order enforcing a subpoena for seven taped telephone conversations that they maintain are protected from disclosure by the privilege for confidential marital communications. The district court rejected the Lavins’ claim of privilege,

UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA _________________________________________ ) INSTITUTIONAL SHAREHOLDER ) SERVICES INC., ) ) Plaintiff, ) ) v. )

UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA _________________________________________ ) SECURITIES AND EXCHANGE ) COMMISSION, ) ) Applicant, ) ) v. ) Case No. 23-mc-00002 (APM)

USCA11 Case: 25-13631 Document: 71-1 Date Filed: 05/29/2026 Page: 1 of 49 FOR PUBLICATION In the United States Court of Appeals For the Eleventh Circuit ____________________ No. 25-13631 ____________________ CITADEL SECURITIES LLC,

JOSÉ A. CABRANES, Circuit Judge: This appeal arises out of a civil enforcement action brought by the Securities and Exchange Commission (“SEC”) against defendants Samuel Wyly and Charles Wyly, Jr. (the ‘Wyly Brothers”). After a jury found the Wyly Brothers liable for multiple claims of securities fraud,' the United States District Court for the Southern District of New York (Shi

UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA KIMBERLY EARLE, Plaintiff v. Civil Action No. 19-1419 (CKK) JAY CLAYTON, et al., Defendants MEMORANDUM OPINION (January 8, 2020) Plaintiff was employed by the United States Securities and Exchange Commission (“SEC”) from 1990 unti

WALD, Circuit Judge, dissenting. I agree with the majority that viatical settlements are not exempt from the securities laws as insurance contracts, that notes issued under Life Partners, Inc.’s (“LPI”) IRA program are not securities, and also that LPI’s viatical settlements meet the first two requirements of the three-part test for an investment contract set out in SEC v. W.J. Howey Co., 328 U.S. 293