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  1. KOKESH v. SEC

    Commission (SEC or Commission) possesses authority to investigate violations of federal securities laws and ... Exchange Commission (SEC or Commission) to enforce federal securities laws. Congress granted the ... investigations into possible violations of the federal securities laws.” SEC v. Jerry T. O’Brien, Inc., 467 U. S. ...

  2. SEC v. EDWARDS

    obligations. After ETS filed for bankruptcy protection, the Securities and Exchange Commission (SEC) brought ... Syllabus SEC v. EDWARDS (No. 02-1196) 300 F. 3d 1281, reversed and remanded. Syllabus [HTML] [PDF] ... Opinion, O’Connor [HTML] [PDF] SECURITIES AND EXCHANGE COMMISSION v. EDWARDS certiorari to the ...

  3. LORENZO v. SEC

    regulation of the securities industry.” SEC v. Capital Gains Research Bureau, Inc., 375 U. S. 180, 198 ... U. S., at 186. See also, e.g., SEC v. W. J. Howey Co., 328 U. S. 293, 299 (1946) (the securities laws ... 78o(b)(4)(E), 78t(e). Instead, the SEC charged Lorenzo as a primary violator of multiple securities laws, ...

  4. GABELLI v. SEC

    Commission is to “investigat[e] potential violations of the federal securities laws.” SEC, Enforcement Manual ... securities laws. §78u–6 (2006 ed., Supp. V). In addition, the SEC may offer “cooperation agreements” to ... Syllabus GABELLI v. SEC () 653 F. 3d 49, reversed and remanded. Syllabus [HTML] [PDF] Opinion, ...

  5. GABELLI v. SEC

    Commission is to “investigat[e] potential violations of the federal securities laws.” SEC, Enforcement Manual ... securities laws. §78u–6 (2006 ed., Supp. V). In addition, the SEC may offer “cooperation agreements” to ... Syllabus GABELLI v. SEC () 653 F. 3d 49, reversed and remanded. Syllabus [HTML] [PDF] Opinion, ...

  6. LUCIA v. SEC

    Securities and Exchange Commission (SEC or Commission) has statutory authority to enforce the nation’s ... §78d –1(c). The SEC charged petitioner Raymond Lucia with violating certain securities laws and ... Securities and Exchange Commission (SEC or Commission) qualify as such “Officers.” In keeping with Freytag v. ...

  7. Robert L. CLARKE, Comptroller of the Currency, Petitioner, v. SECURITIES INDUSTRY ASSOCIATION. SECURITY PACIFIC NATIONAL BANK, Petitioner, v. SECURITIES INDUSTRY ASSOCIATION.

    Petitioner, v. SECURITIES INDUSTRY ASSOCIATION. SECURITY PACIFIC NATIONAL BANK, Petitioner, v. SECURITIES ... [HTML] concurrence, STEVENS, O'CONNOR [HTML] Syllabus Petitioner Security Pacific National Bank ... (Security Pacific) applied to the Comptroller of the Currency for permission to establish an affiliate named ...

  8. SECURITIES AND EXCHANGE COMMISSION, Petitioner, v. NATIONAL SECURITIES, INC., et al.

    393 U.S. 453 (89 S.Ct. 564, 21 L.Ed.2d 668) SECURITIES AND EXCHANGE COMMISSION, Petitioner, v. ... NATIONAL SECURITIES, INC., et al. No. 41. Argued: Nov. 18, 19, 1968. Decided: Jan. 27, 1969. opinion, ... Court. This case raises some complex questions about the Securities and Exchange Commission's power ...

  9. INVESTMENT COMPANY INSTITUTE et al., Petitioners, v. William B. CAMP, Comptroller of the Currency, et al. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., Petitioner, v. SECURITIES AND EXCHANGE COMMISSION et al.

    fund. Petitioner in No. 59 seeks review of a Securities and Exchange Commission (SEC) order exempting ... William B. CAMP, Comptroller of the Currency, et al. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., ... Petitioner, v. SECURITIES AND EXCHANGE COMMISSION et al. Nos. 61, 59. Argued: Dec. 14 and 15, 1970. Decided: ...

  10. MAURER et al. v. HAMILTON, Sec. of Revenue of Commonwealth of Pennsylvania, et al.

    309 U.S. 598 (60 S.Ct. 726, 84 L.Ed. 969) MAURER et al. v. HAMILTON, Sec. of Revenue of ...

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