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Corporate Governance

SEC and Governance

Unless noted, all documents are in PDF format.

| A | B | C | E | G | H | L | M | N | P | R | S | T | U | V | W | Z

A

In re: American Express Co. Sec. Litig., 02 cv 5533 (S.D. N.Y. Sept. 26, 2008) »

American Petroleum Institute v. SEC, Case 1:12-cv-01668-JDB, D. DC, Oct. 2012

Judgment, In re: American Express Co. Sec. Litig., 02 cv 5533 (S.D. N.Y. Sept. 26, 2008) »

In re Am. Stock Exch. LLC., Release No. 3-12774 (2007). »

Analytical Surveys, Inc. v. Tonga Partners, L.P., 2008 WL 4443828

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B

Bennett v. Sprint Nextel Corp. et al., Case No. 09-2122-EFM (D. of Kansas, filed Jan. 6, 2011)

Bennett v. Sprint Nextel Corp., No. 11-9014-MC-W-ODS, 2012 U.S. Dist. LEXIS 145902 (W.D. Mo. Oct. 10, 2012).

In re Boston Stock Exch., Release No. 56352 (2007). »

Broker-Dealers Granted Reg E Relief For Disclosure of Fees, Exchange-Rates

Business Roundtable v. SEC, No. 10-1305, DC Circuit, 2010 »

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C

CA, Inc. v. AFSCME, No. 329, 2008, Del. Sup. Ct. (Certified Question from the SEC, June 27, 2008) »

Coppinger-Martin v. Solis, No. 09-73725

Christopher Cox, Chairman of the SEC, Speech to the Chamber of Commerce (Mar. 14, 2007). »

Complaint, SEC v. Mercury Interactive, (N.D. Cal. May 31, 2007). »

CTS Inc., v. Dynamic, _U.S. (1986)(No. 86-71). »

Curry v. Hansen Medical, Inc., No. 5:09-cv-05094-JF, 2011 U.S. Dist. LEXIS 96697 (N.D. Cal. Aug. 25, 2011) »

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E

Egan-Jones Rating Agency v. SEC, Cas No. 1:12-cv-00920 (D DC June 6, 2012)

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G

Gupta v. SEC, 1:11-cv-01900-JSR, SD NY, March 2011

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H

Higginbotham v. Baxter Int’l, 06-1312 (7th Cir. July 27, 2007). »

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L

La. Mun. Police Emp. Ret. Sys. v. Wynn, 2:12-CV-509 JCM

Langevoort Letter on the Role of Litigation to SEC Chairman Cox, Attachment, August 7, 2007 »

Letter from Mary Schapiro, Chairman, Securities and Exchange Commission, to the Honorable Scott Garrett, US House of Representatives, August 5, 2011

Letter from Prof. Donald C. Langevoort on the Role of Litigation to Christopher Cox, Chairman of the SEC (Mar. 2, 2007). »

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M

Makor v. Tellabs, 127 S. Ct. 2499 (2007). »

Makor v. Tellabs, 2008 WL 151180 (7th Cir. 2008) Cert granted Makor v. Tellabs, 127 S. Ct. 2499 (2007). »

Makor v. Tellabs, 2009

March Schapiro, Chairman, Securities and Exchange Commission »

Mary L. Schapiro, Chairman of the SEC, Remarks at New England Sec. Conference (Oct. 11, 2012)

Miller v. Palladium Indus., C.A. No. 7475-VCN, 2012 Del. Ch. LEXIS 292 (Del. Ch. Dec. 31, 2012).

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N

In re Navistar, SEC Admin. Proc. File No. 3-12564 (Feb. 13, 2007). »

NetRoadshow, Inc., SEC No-Action Letter, 2013 WL 368363 (Jan. 29, 2013).

Newby v. Enron, Civil Action No. H-01-3624 »

Nineteen Eighty-Nine, LLC v. Icahn Enterprises L.P., 2012 N.Y. slip op. 06869 (N.Y. App. Div. Oct. 16, 2012)

Notice of Filing of Amendments Nos. 1 and 2, and Order Granting Accelerated Approval of Proposed Rule Change, Exchange Act Release No. 68640 (Jan. 11, 2013).

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P

Phillips v. Scientific-Atlanta, Inc., No. 10–15910, 2012 WL 3854795 (11th Cir. Sept. 6, 2012).

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R

Regents of the Univ. of Cal. v. Credit Suisse First of Boston, 482 F.3d 372 (5th Cir. 2007). »

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S

Scandlon v. Blue Coat Systems, Inc., No. C 11-4293 RS, 2013 WL 308879 (N.D. Cal. Jan. 25, 2013).

SEC Release »

SEC v. Am. Int’l Grp., No. 12-5141, 2013 WL 375650 (D.C. Cir. Feb. 1, 2013).

SEC v. Aronson, No. 11 CIV 7033 (S.D.N.Y. Oct. 6, 2011).

SEC v. Assurant, Inc., 10 cv 0484 SD NY, Jan. 21, 2010

SEC v. Bank of America, cv o6829, SD NY, 2009

SEC v. Benger

SEC v. Brooks, 07-61526 (S.D. Fla. Oct. 25, 2007). »

SEC v. Citigroup, Civil Action No. 10-1277 (ESH), D Ct., DC, 2010

SEC v. Cuban

SEC v. Daifotis

SEC v. Dorozhko, 07Civ. 9606 (S.D.N.Y. Jan. 8, 2008). »

SEC v. Galleon Mgmt., LP, No. 09 Civ. 8811, 2011 WL 1770631, at *1 (S.D.N.Y. May 11, 2011).

SEC v. Goldman Sachs & Co, SD NY, April 16, 2010

SEC v. Gupta, No. 11 Civ. 7566

SEC v. Huff, No. 11-10758

SEC v. Khan, No. 10-cv-02865

SEC Complaint vs. Kovzan, Civil No. 11-CV-2017 JWL

SEC v. Landberg, No. 11 Civ. 0404, 2011 WL 5116512

SEC v. Madoff, 08 civ 10791, SD NY 2008 »

SEC v. Medical Capital Holdings Inc., C.D. Cal., Case No. SACV 09-0818 DOC »

SEC v. Nature’s Sunshine Products, Inc., Douglas Faggiolo, and Craig D. Huff, No. 2:09CV0672 (D. Utah, July 31, 2009) »

SEC v. Mozilo, 09-3994, CD CA, 2010

SEC Complaint vs. NIC, Fraser, Herington, and Bur

SEC v. Obus, 2010 WL 3703846

SEC v. Obus, No. 10-4747-cv., 2012 WL 3854797 (2d Cir. Sept. 6, 2012).

SEC v. Peterson & Peterson, No. 11-CV-5448 (SDNY, Filed Aug. 5, 2011)

SEC v. Pirate Investor, LLC, 2009 WL 2949091 (4th Cir., Sept. 15, 2009). »

SEC v. Reyes, No. C 06-04435 CRB (N.D. Ca. May 13, 2007). »

SEC v. Rosenthal, 10-1204-cv (L) (2d Cir. June 9, 2011)

SEC v. Scammell, No. CV11-6597-DSF

SEC v. Schooler, 2012 WL 4761917, (S.D. Cal. Oct. 5, 2012).

SEC v. Schroeder, No. C-07-3798 JW (N.D. Cal Nov. 17, 2010). »

SEC v. Schwinger, 07-CV-01047 (D.D.C. June 13, 2007). »

SEC v Shanahan, 407-CV-270-JCH, E. D. Mo., Jan. 12, 2009. »

S.E.C. v. Stoker, No. 11 Civ. 7388(JSR), 2012 WL 2017736 (S.D.N.Y. June 6, 2012). »

SEC v. Todd, (N.D. Ca. May 30, 2007). »

SEC v. Tourre, 10 Civ. 3229, SD NY 2010 »

SEC v. Weintraub, No. 11-21549-CIV-HUCK/BANDSTRA (S.D. Fla. Dec. 30, 2011).

Security Exchange Commission Act of 1934, 15 U.S.C. 78 (1934). »

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Members the Ability to Pay a Regulatory Fine Pursuant to an Installment Plan, Exchange Act Release No. 34-67967, 2012 WL 4580144 (Oct. 2, 2012).

Shareholder Proposals Relating to the Election of Directors, Exchange Act Release No. 34-56161 (July 27, 2007) »

Shareholders Proposals, Exchange Act Release No. 34-56160 (July 27, 2007) »

Simpson v. AOL Time Warner Inc., 452 F.3d 1040 (9th Cir. 2006). »

In re Sodano, In the Matter of Salvatore F. Sodano »

South Ferry LP v. Killinger, 06-35511 (9th Cir. September 9, 2008) »

Stoneridge v. Scientific-Atlanta, 443 F.3d 987 (8th Cir. 2006). »

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U

United States v. Reyes, No. CR 06-0556 (N.D. Cal. 2007). »

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V

Villari v. Mozilo, 208 Cal. App. 4th 1470 (August 30, 2012)

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W

In re: Williams Securities Litigation, No. 07-5119, 10th Cir., Feb. 19, 2009

WPP Luxembourg Gamma Three Sarl v Spot Runner 655 F 3d 1039 (9th Cir 2011)


Z

Zelaya v. U.S., No. 11-62644-Civ-SCOLA, 2012 WL 3887203 (S.D. Fla. Sept. 7, 2012) .