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Securities and Exchange Commission v. Goldman Sachs & Co. et al

MEMORANDUM OF LAW in Support re: 395 MOTION for Partial Summary Judgment.. Document

16 Cited authorities

  1. T.Y. v. New York City Dept. of Educ

    584 F.3d 412 (2d Cir. 2009)   Cited 477 times
    Holding that a school district may not "assign a child to a school that cannot satisfy the IEP's requirements"

  2. JA Apparel Corp. v. Abboud

    568 F.3d 390 (2d Cir. 2009)   Cited 306 times   2 Legal Analyses
    Holding that fair use may entitle a clothing company to identify its designer on advertisements even where a competitor has registered that same designer's name as a trademark in connection with the sale of apparel

  3. U.S. v. Leonard

    529 F.3d 83 (2d Cir. 2008)   Cited 71 times
    Holding that the district court erred by failing to determine and deduct the actual value of securities received by fraud victims

  4. Feldman v. Sanders Legal Grp.

    914 F. Supp. 2d 595 (S.D.N.Y. 2012)   Cited 21 times
    Holding that defendant's affidavit stating that he was not a "debt collector" under the Fair Debt Collection Act, taken in conjunction with memorandum of law noting plaintiff's lack of evidence regarding defendant's "debt collector" status, was sufficient to shift summary judgment burden to plaintiff

  5. CFIP Master Fund, Ltd. v. Citibank, N.A.

    738 F. Supp. 2d 450 (S.D.N.Y. 2010)   Cited 22 times
    Holding that plaintiff could not sue as third-party beneficiary where contract expressly stated that "'[n]o person other than the Parties [to the agreement] shall have any right to enforce any provision of this [t]ransaction.'"

  6. McNabb v. S.E.C

    298 F.3d 1126 (9th Cir. 2002)   Cited 32 times
    Holding that, although the third factor supported neither side's position, the notes in question nevertheless constituted securities

  7. Stoiber v. S.E.C

    161 F.3d 745 (D.C. Cir. 1998)   Cited 35 times   1 Legal Analyses
    Holding that information contained in “reaffirmation statements” signed by customers showed they knew most of the money would be used for commodities trading, which clearly fell under Reves 's “financing substantial investments” language

  8. Securities Exchange Commission v. Rorech

    720 F. Supp. 2d 367 (S.D.N.Y. 2010)   Cited 18 times   1 Legal Analyses
    Granting judgment for defendant after bench trial where SEC only showed existence of calls between parties followed by allegedly suspicious trades, and trades were consistent with defendant's past investment practices and trading history

  9. United States v. Austin

    462 F.2d 724 (10th Cir. 1972)   Cited 51 times
    Holding that letter of commitment was an "evidence of indebtedness"

  10. Section 78j - Manipulative and deceptive devices

    15 U.S.C. § 78j   Cited 12,510 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

  11. Section 77q - Fraudulent interstate transactions

    15 U.S.C. § 77q   Cited 3,304 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

  12. Section 1a - Definitions

    7 U.S.C. § 1a   Cited 323 times   63 Legal Analyses
    Defining "excluded commodity" under Commodity Exchange Act

  13. Section 3101 - Definitions

    12 U.S.C. § 3101   Cited 37 times   4 Legal Analyses
    Defining "Federal branch" as "a branch of a foreign bank established and operating under [ 12 U.S.C. § 3102]"

  14. Section 77b-1 - Swap agreements

    15 U.S.C. § 77b-1   Cited 3 times

    (a) [Reserved] (b) Security-based swap agreements (1) The definition of "security" in section 77b(a)(1) of this title does not include any security-based swap agreement (as defined in section 78c(a)(78) of this title). (2) The Commission is prohibited from registering, or requiring, recommending, or suggesting, the registration under this subchapter of any security-based swap agreement (as defined in section 78c(a)(78) of this title). If the Commission becomes aware that a registrant has filed a

  15. Section 78c-1 - Swap agreements

    15 U.S.C. § 78c-1   Cited 3 times

    (a) [Reserved] (b) Security-based swap agreements (1) The definition of "security" in section 78c(a)(10) of this title does not include any security-based swap agreement. (2) The Commission is prohibited from registering, or requiring, recommending, or suggesting, the registration under this chapter of any security-based swap agreement. If the Commission becomes aware that a registrant has filed a registration application with respect to such a swap agreement, the Commission shall promptly so notify

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

    17 C.F.R. § 240.10b-5   Cited 9,201 times   134 Legal Analyses
    Holding liable any person who "make any untrue statement of material fact"