29 Cited authorities

Reeves v. Sanderson Plumbing Prods., Inc.
530 U.S. 133 (2000) Cited 21,087 times 22 Legal Analyses
Holding that, since the 58-year-old plaintiff was fired by his 60-year-old employer, there was an inference that "age discrimination was not the motive"
Boeing Company v. Shipman
411 F.2d 365 (5th Cir. 1969) Cited 1,995 times
Holding that a mere scintilla of evidence is insufficient to present a question for the jury
Gautreaux v. Scurlock Marine, Inc.
107 F.3d 331 (5th Cir. 1997) Cited 432 times
Holding that seaman are held to a standard of ordinary prudence to avoid injury
S.E.C. v. PHAN
500 F.3d 895 (9th Cir. 2007) Cited 250 times 2 Legal Analyses
Holding that the district court erred in disregarding declarations as “uncorroborated and self-serving”
Securities & Exchange Commission v. CMKM Diamonds, Inc.
729 F.3d 1248 (9th Cir. 2013) Cited 164 times 4 Legal Analyses
Holding that grant, as opposed to denial, of a stay is a non-dispositive pretrial matter under § 636(b) when it does not dispose of relief to the parties
Securities Exch. Com'n v. Murphy
626 F.2d 633 (9th Cir. 1980) Cited 352 times 3 Legal Analyses
Holding Section 4 was "designed to exempt routine trading transactions with respect to securities already issued"
Owens v. Jastrow
789 F.3d 529 (5th Cir. 2015) Cited 84 times 2 Legal Analyses
Holding allegations against "Individual Defendants" were not sufficiently "tied to a particular defendant" and, thus, "disregard[ing] the group-pleaded allegations [to] discern whether the remaining allegations state a claim for relief as to each defendant"
Sec. & Exch. Comm'n v. Levin
849 F.3d 995 (11th Cir. 2017) Cited 51 times
Observing that remedial legislation "is entitled to a broad construction"
Securities & Exchange Commission v. Gann
565 F.3d 932 (5th Cir. 2009) Cited 49 times
In SEC v. Kramer, the Commission alleged that the defendant acted as an unregistered broker in violation of Section 15(a) where he received transaction-based commissions for actively soliciting "intimate friends and family" over a period of two years.
Dennis v. General Imaging, Inc.
918 F.2d 496 (5th Cir. 1990) Cited 86 times
Holding that status as a director will not make someone a controlling person absent "evidence [the alleged controlling person] was able to influence the firm's direction"
Rule 50 - Judgment as a Matter of Law in a Jury Trial; Related Motion for a New Trial; Conditional Ruling
Fed. R. Civ. P. 50 Cited 13,602 times 62 Legal Analyses
Allowing "renewed motion"
Section 230.501 - Definitions and terms used in Regulation D
17 C.F.R. § 230.501 Cited 153 times 20 Legal Analyses
Defining "accredited investor" to include persons "who the issuer reasonably believes" are accredited
Section 230.506 - Exemption for limited offers and sales without regard to dollar amount of offering
17 C.F.R. § 230.506 Cited 106 times 10 Legal Analyses
Providing specific rules under which an issuer can ensure a transaction is not a public offering
Section 230.502 - General conditions to be met
17 C.F.R. § 230.502 Cited 78 times 3 Legal Analyses
Requiring disclosures to "purchasers" of stock who are unaccredited investors
Section 230.508 - Insignificant deviations from a term, condition or requirement of Regulation D
17 C.F.R. § 230.508 Cited 13 times
Stating that a "failure to comply" with Rules 504–506 will not result "in the loss of the exemption from the requirements of section 5 of the Act" if certain conditions are satisfied

Securities and Exchange Commission v. Mapp, III et al

29 Cited authorities

Holding that, since the 58-year-old plaintiff was fired by his 60-year-old employer, there was an inference that "age discrimination was not the motive"

Holding that a mere scintilla of evidence is insufficient to present a question for the jury

Holding that seaman are held to a standard of ordinary prudence to avoid injury

Holding that the district court erred in disregarding declarations as “uncorroborated and self-serving”

Holding that grant, as opposed to denial, of a stay is a non-dispositive pretrial matter under § 636(b) when it does not dispose of relief to the parties

Holding Section 4 was "designed to exempt routine trading transactions with respect to securities already issued"

Holding allegations against "Individual Defendants" were not sufficiently "tied to a particular defendant" and, thus, "disregard[ing] the group-pleaded allegations [to] discern whether the remaining allegations state a claim for relief as to each defendant"

Observing that remedial legislation "is entitled to a broad construction"

In SEC v. Kramer, the Commission alleged that the defendant acted as an unregistered broker in violation of Section 15(a) where he received transaction-based commissions for actively soliciting "intimate friends and family" over a period of two years.

Holding that status as a director will not make someone a controlling person absent "evidence [the alleged controlling person] was able to influence the firm's direction"

Allowing "renewed motion"

Defining "accredited investor" to include persons "who the issuer reasonably believes" are accredited

Providing specific rules under which an issuer can ensure a transaction is not a public offering

Requiring disclosures to "purchasers" of stock who are unaccredited investors

Stating that a "failure to comply" with Rules 504–506 will not result "in the loss of the exemption from the requirements of section 5 of the Act" if certain conditions are satisfied