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Securities and Exchange Commission v. Anticevic

MEMORANDUM OF LAW in Support re: 151 MOTION for Default Judgment as to.. Document

48 Cited authorities

  1. Basic Inc. v. Levinson

    485 U.S. 224 (1988)   Cited 3,366 times   310 Legal Analyses
    Holding that the District Court appropriately certified the class based on the presumption of reliance

  2. Ernst Ernst v. Hochfelder

    425 U.S. 185 (1976)   Cited 3,492 times   40 Legal Analyses
    Holding that Section 9(f) “contains a state-of-mind condition requiring something more than negligence”

  3. TSC Industries, Inc. v. Northway, Inc.

    426 U.S. 438 (1976)   Cited 2,495 times   69 Legal Analyses
    Holding that materiality may be resolved at summary judgment "if the established omissions are so obviously important to an investor that reasonable minds cannot differ on the question of materiality"

  4. Securities v. Zandford

    535 U.S. 813 (2002)   Cited 523 times   17 Legal Analyses
    Holding that the SEC may bring a public enforcement action against a broker who accepted payment for securities that he never delivered

  5. Aaron v. Securities & Exchange Commission

    446 U.S. 680 (1980)   Cited 783 times   27 Legal Analyses
    Holding that scienter is an element of Section 10(b), Rule 10b-5, and Section 17, but not Section 17 or

  6. Societe Nat. Ind. Aero. v. U.S. Dist. Court

    482 U.S. 522 (1987)   Cited 599 times   30 Legal Analyses
    Holding that "the Hague Convention did not deprive the District Court of the jurisdiction it would otherwise possess to order a foreign national party before it to produce evidence physically located within a signatory nation"

  7. Securities & Exchange Commission v. First Jersey Securities, Inc.

    101 F.3d 1450 (2d Cir. 1996)   Cited 1,240 times   5 Legal Analyses
    Holding that owner-officer who collaborated in unlawful conduct of firm may be held jointly and severally liable with firm for disgorgement of unlawful gains received

  8. Comdyne I, Inc. v. Corbin

    908 F.2d 1142 (3d Cir. 1990)   Cited 1,242 times   1 Legal Analyses
    Holding that when deciding whether to grant a default judgment, "all well-pleaded allegations in a complaint, except those relating to the amount of damages, are admitted as true following a default"

  9. Au Bon Pain Corp. v. Artect, Inc.

    653 F.2d 61 (2d Cir. 1981)   Cited 1,347 times
    Holding that corporate officer could be held liable under MBTFA as a "contractor"

  10. Hughes Tool Co. v. Trans World Airlines

    409 U.S. 363 (1973)   Cited 470 times
    Holding that a prior dismissal of a writ of certiorari at an interlocutory stage did not establish law of the case or amount to res judicata on the points raised

  11. Rule 37 - Failure to Make Disclosures or to Cooperate in Discovery; Sanctions

    Fed. R. Civ. P. 37   Cited 46,648 times   324 Legal Analyses
    Holding that a party may be barred from using a witness if it fails to disclose the witness

  12. Rule 55 - Default; Default Judgment

    Fed. R. Civ. P. 55   Cited 33,593 times   13 Legal Analyses
    Adopting similar language for acquiring default judgment against the United States

  13. Rule 5 - Serving and Filing Pleadings and Other Papers

    Fed. R. Civ. P. 5   Cited 22,480 times   16 Legal Analyses
    Allowing service by filing papers with the court's electronic-filing system

  14. Section 78j - Manipulative and deceptive devices

    15 U.S.C. § 78j   Cited 12,578 times   165 Legal Analyses
    Granting SEC power to establish rules to further statute forbidding manipulative or deceptive devices in connection with purchase or sale of securities

  15. Section 77q - Fraudulent interstate transactions

    15 U.S.C. § 77q   Cited 3,339 times   38 Legal Analyses
    Prohibiting the use of "any device, scheme, or artifice to defraud" in connection with the offer or sale of any security

  16. Section 78u - Investigations and actions

    15 U.S.C. § 78u   Cited 2,303 times   85 Legal Analyses
    Granting the SEC the power to seek civil penalties for violations of the Exchange Act

  17. Section 6621 - Determination of rate of interest

    26 U.S.C. § 6621   Cited 1,845 times   22 Legal Analyses
    Applying a higher interest rate to past liabilities resulting from tax-motivated transactions

  18. Section 77t - Injunctions and prosecution of offenses

    15 U.S.C. § 77t   Cited 1,435 times   13 Legal Analyses
    Granting the SEC the power to seek civil penalties for violations of the Securities Act

  19. Section 240.10b-5 - Employment of manipulative and deceptive devices

    17 C.F.R. § 240.10b-5   Cited 9,223 times   134 Legal Analyses
    Holding liable any person who "make any untrue statement of material fact"

  20. Section 201.600 - Interest on sums disgorged

    17 C.F.R. § 201.600   Cited 31 times

    (a)Interest required. Prejudgment interest shall be due on any sum required to be paid pursuant to an order of disgorgement. The disgorgement order shall specify each violation that forms the basis for the disgorgement ordered; the date which, for purposes of calculating disgorgement, each such violation was deemed to have occurred; the amount to be disgorged for each such violation; and the total sum to be disgorged. Prejudgment interest shall be due from the first day of the month following each