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Securities and Exchange Commission v. Anticevic

MEMORANDUM OF LAW in Support re: 194 MOTION for Default Judgment as to Bruno Verinac and Antun Dilber.. Document

40 Cited authorities

  1. Basic Inc. v. Levinson

    485 U.S. 224 (1988)   Cited 3,355 times   308 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 3,487 times   39 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 2,484 times   67 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 522 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. Securities & Exchange Commission v. First Jersey Securities, Inc.

    101 F.3d 1450 (2d Cir. 1996)   Cited 1,234 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

  6. Comdyne I, Inc. v. Corbin

    908 F.2d 1142 (3d Cir. 1990)   Cited 1,227 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"

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

    653 F.2d 61 (2d Cir. 1981)   Cited 1,337 times
    Holding that corporate officer could be held liable under MBTFA as a "contractor"

  8. 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

  9. Securities Exch. Com'n v. Texas Gulf Sulphur

    401 F.2d 833 (2d Cir. 1968)   Cited 883 times   6 Legal Analyses
    Holding that a statement is misleading if “in the light of the facts existing at the time of the [statement] ... reasonable investor, in the exercise of due care, would have been misled by it”

  10. Securities and Exchange Comm. v. Cavanagh

    155 F.3d 129 (2d Cir. 1998)   Cited 282 times   3 Legal Analyses
    Holding nominal defendant wife had no legitimate claim to fraudulent proceeds where "she did not even know she had received the stock, that the stock had been sold, or that $500,000 in proceeds had been transferred to her bank account"

  11. Rule 55 - Default; Default Judgment

    Fed. R. Civ. P. 55   Cited 33,143 times   13 Legal Analyses
    Adopting similar language for acquiring default judgment against the United States

  12. Section 78j - Manipulative and deceptive devices

    15 U.S.C. § 78j   Cited 12,532 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

  13. Rule 7 - Pleadings Allowed; Form of Motions and Other Papers

    Fed. R. Civ. P. 7   Cited 7,597 times   2 Legal Analyses
    Defining "pleadings" for purposes of the Federal Rules of Civil Procedure

  14. Section 78u - Investigations and actions

    15 U.S.C. § 78u   Cited 2,273 times   85 Legal Analyses
    Granting the SEC the power to seek civil penalties for violations of the Exchange Act

  15. Section 6621 - Determination of rate of interest

    26 U.S.C. § 6621   Cited 1,836 times   22 Legal Analyses
    Applying a higher interest rate to past liabilities resulting from tax-motivated transactions

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

    17 C.F.R. § 240.10b-5   Cited 9,221 times   134 Legal Analyses
    Holding liable any person who "make any untrue statement of material fact"

  17. Section 201.600 - Interest on sums disgorged

    17 C.F.R. § 201.600   Cited 30 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