IN THIS SECTION

Unless noted, all documents are in PDF format.

| A | B | C | E | F | G | H | I | J | K | 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

Atossa Genetics, Inc. Securities Litigation, In re, No. C13-1836 (W.D. Wash. Oct. 06, 2014).

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B

Bank of America to Pay Record $16.6B To End SEC, DOJ Suits Over RMBS.

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).

Bourdel v. Wells Fargo Advisors, LLC, 2013 U.S. Dist. LEXIS 61436 (D. Nev. Apr. 30, 2013).

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.

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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F

FDIC v. Chase Mortg. Fin. Corp., 2014 BL 241771 (S.D.N.Y. Sept. 2, 2014).

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G

Gov’t of Guam Ret. Fund v. Invacare Corp., CASE NO. 1:13CV1165, 2014 BL 228345 (N.D. Ohio Aug. 18, 2014).

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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I

In the Matter of Anthony Coronati, Adm. Proc. File No. 3-16203 (Oct. 17, 2014).

In the Matter of Gonul Colak, Adm. Proc. File No. 3-15712 (Jan. 3, 2014).

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J

Jarkesy v. SEC, 1:14-cv-00114, 14-5196, DC, 2014

Jonathan L. Rogers, Douglas J. Skinner & Sarah L.C. Zechman, Run EDGAR Run: SEC Dissemination in a High-Frequency World (Chicago Booth Paper No. 14-36, 2014).

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K

Khaled Asadi v. G.E. Energy, LLC, 720 F.3d 620 (5th Cir. 2013).

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L

L&L Energy Sec. Litig., In re., No. C11-1423RSL, 2013 BL 335037 (W.D. Wash. Dec. 03, 2013).

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

Lauria v. BioSante Pharm., Inc., Case No. 12 C 772, 2013 BL 242363 (N.D. Ill. Sept. 11, 2013).

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 Jo White, Chairwoman of the SEC, Speech to the Annual Securities Regulation Institute (Jan. 27, 2014).

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).

Molchatsky v. United States, 713 F.3d 159 (2d Cir. N.Y. 2013).

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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

Nine Sys. Corp. S’holders Litig., In re, Consol. C.A. No. 3940-VCN., 2014 BL 245208 (Del. Ch. Sept. 04, 2014).

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

Northumberland Cnty. Ret. Sys. v. Kenworthy, NO. CIV-11-520-D, 2013 BL 249536 (W.D. Okla. Sept. 16, 2013)

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

Palkon v. Holmes, No. 2:14-CV-01234 (SRC), 2014 BL 293980 (D.N.J. Oct. 20, 2014),

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

Press Release, Securities and Exchange Commission, JP Morgan Chase Agrees to Pay $200 Million and Admits Wrongdoing to Settle SEC Charges (Sept. 19, 2013).

Press Release, U.S. Securities and Exchange Commission, SEC Awards More Than $14 Million to Whistleblower (Oct. 21, 2013).

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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).

Scott v. General Motors Co., No. 12CV5124–LTSJLC (S.D.N.Y. Sept. 15, 2014).

SEC Adopts Neat Tool

SEC Civil Complaint Against Bray and O’Neill.

SEC Proposed Rule for Pay Ratio Disclosure, Release No. 33-9452, 34-79443 (Sept. 18, 2013).

SEC Release

SEC Suspends Trading of 61 Companies Ripe for Fraud in Over-The-Counter Market

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. Bankosky, No. 12-2943-cv, 2013 BL 128728 (2d Cir. May 14, 2013).

SEC v. Bauer, 723 F. 3d 758 (7th Cir. 2013).

SEC v. Bauer, Case No. 03-C-1427, 2014 BL 244562 (E.D. Wis. Aug. 29, 2014).

SEC v. Benger

SEC v. BIH Corp., Case No. 2:10-cv-577-FtM-29DNF., 2014 BL 69810 (M.D. Fla. Mar. 13, 2014)

SEC v. Braverman

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. Cole, No. 12-cv-8167 (RJS), 2014 BL 263123 (S.D.N.Y. Sept. 22, 2014).

SEC v. CMKM Diamonds, Inc., Nos. 11-17021, 11-17025, 2013 BL 240178 (9th Cir. Sept. 10, 2013)

SEC v. Cuban

SEC v. Daifotis

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

SEC v. Estate of Vincent James Saviano, No. 2:14-cv-13902-MOB-MKM

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

SEC v. Garber, No. 12 Civ. 9339, 2014 BL 3070 (S.D.N.Y. Jan. 07, 2014)

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

SEC v. Graulich, Civ. No. 2:09-cv-04355 (WJM), 2013 WL 3146862 (D.N.J. June 19, 2013)

SEC v. Greenstone Holdings, Inc., No. 10 Civ. 1302 (MGC), 2013 BL 186597 (S.D.N.Y. July 10, 2013).

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

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

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

SEC v. Nocella, Civil Action H-12-1051, 2014 BL 222069 (S.D. Tex. Aug.
11, 2014).

SEC v. Obus, 2010 WL 3703846

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

SEC v. Persaud, Case No. 6:12-cv-932-Orl-28GJK., 2013 BL 341268 (M.D. Fla. Dec. 10, 2013).

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. Quan, No. 11 Civ. 723 (ADM/JSM), 2014 BL 260791 (D. Minn. Sept. 9, 2014).

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. Subeye, 13 CV 3114 2014 BL 259610 (S.D.N.Y. 2014).

SEC v. Sullivan, Civil Action No. 1:12-cv-02131-JLK-BNB, 2014 BL 261839 (D. Colo. Sept. 19, 2014)

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).

SEC v. Wyly, No. 10 Civ. 5760 (SAS), 2013 BL 158497 (S.D.N.Y. June 13, 2013).

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

Shareholders Proposals, Exchange Act Release No. 34-56160

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)

Steginsky v. Xcelera Inc., No. Nos. 13-1327-cv, 13-1892-cv, 2014 BL 20609 (2d Cir. Jan. 27, 2014).

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

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T

Tremont Sec. Law v. Tremont Grp. Holdings, Inc., Master File No. 08 Civ.11117., 2013 BL 235336 (S.D.N.Y. Sept. 03, 2013).

Trinity Wall Street v. Wal-Mart Stores

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U

United States v. Martoma, 2013 BL 347024 (S.D.N.Y December 17, 2013).

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

World Trade Fin. Corp. v. SEC, No. 12-70681, 2014 BL 13048 (9th Cir. Jan. 16, 2014)

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) .