SEC and Governance
Unless noted, all documents are in PDF format.
| A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | R | S | T | U | V | W | Z
A
Acuity Brands, Inc. No Action Letter.
Advanced Battery Techno, In re, No. 14-01410 (2d Cir. Mar 25, 2015)
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).
B
Bank of America to Pay Record $16.6B To End SEC, DOJ Suits Over RMBS.
Bebo v. SEC, Aug. 24 2015, Seventh Circuit Decision
Bennett v. Sprint Nextel Corp. et al., Case No. 09-2122-EFM (D. of Kansas, filed Jan. 6, 2011)
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
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).
Cisco Systems Co. No Action Letter
Citigroup Global Markets Inc., SEC, Admin. Proc., In re File No. 3-17808 (Jan. 24, 2017).
The Coca-Cola Company, 2016 BL 49948 (Feb. 19, 2016).
D
Del. Cty. Emps. Ret. Fund v. Sanchez, No. 702, 2015 BL 323593 (Del. Oct. 02, 2015).
Dempsey v. Vieau, No. 13-CV-6883-LTS-SN (S.D.N.Y. Sept. 8, 2015).
E
In re Eaton Corp. Sec. Litig., No. 16-cv-5894 (JGK), 2017 BL 332475 (S.D.N.Y. Sept. 20, 2017).
Egan-Jones Rating Agency v. SEC, Cas No. 1:12-cv-00920 (D DC June 6, 2012)
F
FDIC v. Chase Mortg. Fin. Corp., 2014 BL 241771 (S.D.N.Y. Sept. 2, 2014).
Friedman v. Dolan, No. 9425-VCN, 2015 BL 209974 (Del. Ch. June 30, 2015).
G
In Re General Motors Co., S.E.C., No. Admin. Proc. File No. 3-17797 (January 18, 2017).
Genworth Financial, Inc. Securities Litigation, In re
Gupta v. SEC, 1:11-cv-01900-JSR, SD NY, March 2011
H
In Re Hedayati, S.E.C., Admin. Proc. File No. 3-17881 (March 14, 2017).
Higginbotham v. Baxter Int’l, 06-1312 (7th Cir. July 27, 2007).
HomeTrust Bancshares, Inc. No Action Letter.
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).
In the Matter of Lynn Tilton, Administrative Rulings Release No. 4672 (admin proc March 10, 2017).
In the Matter of Voya Financial Advisors, Inc. Release No. 84288 (Sept. 26, 2018).
J
Jarkesy v. SEC, 1:14-cv-00114, 14-5196, DC, 2014
K
Kaufman v. Alexander, No. 14-3293, 2015 BL 278735 (3d Cir. Aug. 28, 2015).
KBR, Inc., In re, Release No. 34-74619, 2015 WL 1456619 (2015).
Khaled Asadi v. G.E. Energy, LLC, 720 F.3d 620 (5th Cir. 2013).
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).
Lehman Brothers Securities and Erisa Litigation, In re
Lions Gate Entm’t Corp. Sec. Litig., In re, 2016 BL 17683 (S.D.N.Y. Jan. 22, 2016).
Lucas v. Icahn, No. 14-1906-cv, 2015 BL 202645 (2d Cir. June 25, 2015).
M
Makor v. Tellabs, 127 S. Ct. 2499 (2007).
March Schapiro, Chairman, Securities and Exchange Commission
Mary L. Schapiro, Chairman of the SEC, Remarks at New England Sec. Conference (Oct. 11, 2012)
Microsoft Corp No Action Letter
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).
Montage Technology Group Limited, In re
Moore v. Payson Petroleum Grayson
Morgan Stanley Smith Barney LLC, SEC, Admin. Proc., In re File No. 3-17809 (Jan. 24, 2017).
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
NYSASeries Trust v. Espsco Syracuse, LLC, No. 5:14-CV-1089, 2015 BL 26727 (N.D.N.Y. Feb. 03, 2015).
O
Olagues v. Icahn, 866 F.3d 70, 72 (2d Cir. 2017).
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).
In re Platinum Equity Advisors, LLC.
In Re Polaris Indus., Inc. Sec. Litig.
R
Regents of the Univ. of Cal. v. Credit Suisse First of Boston, 482 F.3d 372 (5th Cir. 2007).
S
Salman v. US, 136 S. Ct. 899 (2016).
Scandlon v. Blue Coat Systems, Inc., No. C 11-4293 RS, 2013 WL 308879 (N.D. Cal. Jan. 25, 2013).
Schwartz v. Arena Pharmaceuticals, Inc.
Scott v. General Motors Co., No. 12CV5124–LTS–JLC (S.D.N.Y. Sept. 15, 2014).
SEC Civil Complaint Against Bray and O’Neill.
SEC No-Action Letter: Citigroup Inc.
SEC Proposed Rule for Pay Ratio Disclosure, Release No. 33-9452, 34-79443 (Sept. 18, 2013).
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. Battoo, No. 112-CV-07125, (N.D. Ill. Jan. 25, 2016).
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. Big Apple Consulting USA, Inc., No 13-11976 (11th. Cir. Apr. 9, 2015).
SEC v. BIH Corp., Case No. 2:10-cv-577-FtM-29DNF., 2014 BL 69810 (M.D. Fla. Mar. 13, 2014)
SEC v. Brooks, 07-61526 (S.D. Fla. Oct. 25, 2007).
SEC v. Capital Financial Partners, LLC
SEC v. Cary, No. 8:17-cv-01649 (C.D. Cal. Sept. 21, 2017).
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. Dorozhko, 07Civ. 9606 (S.D.N.Y. Jan. 8, 2008).
SEC v. Dubovoy, No. 15-6076 (D.N.J. Oct. 16, 2015).
SEC v. Estate of Vincent James Saviano, No. 2:14-cv-13902-MOB-MKM
SEC v. Faulkner, No. 3:16-CV-1735-D (N.D. Tex. Sept. 25, 2017).
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. Hayter, No: 2:10-cv-577-FtM-29DNF (M.D. Fla. Jan. 28, 2015).
SEC v. Helms, 2015 BL 270501 (W.D. Tex. Aug. 21, 2015).
SEC v. Hovannisian, No. 17-at-00617 (E.D. Cal. Aug. 10, 2017).
Complaint, SEC v. Johnson (D. Colo. 2015) (Case 1:15-cv-00299-REB).
SEC v. Kokesh, No. 15-2087, 2016 BL 273045 (10th Cir. Aug. 23, 2016).
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. Mapp, No. 4:16-cv-00246 (E.D. Tex. Nov. 11, 2017).
SEC v. Medical Capital Holdings Inc., C.D. Cal., Case No. SACV 09-0818 DOC
Complaint, SEC v. Mercury Interactive, (N.D. Cal. May 31, 2007).
Complaint, SEC v. Moses Inv. Co., LLC & Michael S. Moses, No. 17-Cv-02296 (D. Colo. Sept. 22, 2017).
SEC v. Mozilo, 09-3994, CD CA, 2010
SEC vs. Narvett, No. 13-C-927, 2014 BL 287642 (E.D. Wis. Oct. 14, 2014).
SEC v. Nature’s Sunshine Products, Inc., Douglas Faggiolo, and Craig D. Huff, No. 2:09CV0672
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, 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. StratoComm Corp., 1:11-CV-1188, 2015 BL 62316 (N.D.N.Y. Mar. 09, 2015).
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).
SEC, No-Action Letter, WD-40 Company, 2016 BL 320576 (09/27/16)
Security Exchange Commission Act of 1934, 15 U.S.C. 78 (1934).
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).
Singh v. 21Vianet Grp. Inc., (E.D. Tex. 2017).
In re SLRA Inc., S.E.C., Admin. Proc. File No. 3-17826, 2/7/17.
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).
In re Stifel and Nicolaus & Co., Inc., S.E.C., Admin. Proc. File No. 3-17879, Mar. 13, 2017
Stoneridge v. Scientific-Atlanta, 443 F.3d 987 (8th Cir. 2006).
Stryker v. Securities and Exchange Commission
Sun River Energy, Inc. v. McMillan, 2015 BL 84085 (N.D. Tex. Mar. 25, 2015).
In the Matter of Sylvester King Jr.
T
Trinity Wall Street v. Wal-Mart Stores
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).
United States v. Thomas Melvin, No. 3:14-cr-00022-TCB-RGV-1, (11th Cir. February 3, 2017)
U.S Commodity FTC Press Release in regards to Citigroup spoofing
V
Villari v. Mozilo, 208 Cal. App. 4th 1470 (August 30, 2012)
W
In re: Williams Securities Litigation, No. 07-5119, 10th Cir., Feb. 19, 2009
In re Windsor Street Capital L.P., S.E.C., No. Admin. Proc. File No. 3-17813, 1/25/17
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) .
Zoernack, In re, SEC, Admin. Proc. File No. 3-17157, March 8, 2016.