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Securities and Exchange Commission v. LADP Acquisition, Inc. et al

MEMORANDUM OF POINTS AND AUTHORITIES In Support of Ex Parte Application

43 Cited authorities

  1. Basic Inc. v. Levinson

    485 U.S. 224 (1988)   Cited 3,358 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 3,489 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 2,486 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. Herman MacLean v. Huddleston

    459 U.S. 375 (1983)   Cited 1,312 times   11 Legal Analyses
    Holding that an express remedy under § 11 of the 1933 Act for misleading registration statements did not preclude an overlapping implied private cause of action for fraudulent misrepresentation under § 10(b) of the 1934 Act

  5. Aaron v. Securities & Exchange Commission

    446 U.S. 680 (1980)   Cited 781 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. Federal Trade Commission v. Affordable Media, LLC

    179 F.3d 1228 (9th Cir. 1999)   Cited 438 times   1 Legal Analyses
    Holding that contempt has to be proved by clear and convincing evidence

  7. S.E. C. v. Ralston Purina Co.

    346 U.S. 119 (1953)   Cited 431 times   8 Legal Analyses
    Finding the "imposition of the burden of proof on an issuer who would plead the [private placement] exemption" to be "fair and reasonable" given the "broadly remedial purposes of federal securities regulation"

  8. S.E.C. v. PHAN

    500 F.3d 895 (9th Cir. 2007)   Cited 251 times   2 Legal Analyses
    Holding that the district court erred in disregarding declarations as “uncorroborated and self-serving”

  9. Securities & Exchange Commission v. Manor Nursing Centers, Inc.

    458 F.2d 1082 (2d Cir. 1972)   Cited 565 times   2 Legal Analyses
    Holding that the disgorgement remedy does not reach income derived from the ill-gotten gains because such a remedy would constitute a penalty

  10. U.S. v. Nutri-Cology, Inc.

    982 F.2d 394 (9th Cir. 1992)   Cited 286 times
    Affirming district court's denial of preliminary injunction for violation of Food, Drug, and Cosmetic Act

  11. Rule 65 - Injunctions and Restraining Orders

    Fed. R. Civ. P. 65   Cited 22,610 times   88 Legal Analyses
    Recognizing court's ability to enter emergency order with less than full adversary hearing and even, in appropriate circumstances, without notice

  12. Section 78j - Manipulative and deceptive devices

    15 U.S.C. § 78j   Cited 12,542 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. Section 77q - Fraudulent interstate transactions

    15 U.S.C. § 77q   Cited 3,317 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

  14. Section 78u - Investigations and actions

    15 U.S.C. § 78u   Cited 2,278 times   85 Legal Analyses
    Granting the SEC the power to seek civil penalties for violations of the Exchange Act

  15. Section 77e - Prohibitions relating to interstate commerce and the mails

    15 U.S.C. § 77e   Cited 1,862 times   25 Legal Analyses
    Requiring registration statement before selling securities

  16. Section 78c - Definitions and application

    15 U.S.C. § 78c   Cited 1,672 times   88 Legal Analyses
    Exempting certain "note" with maturities of less than nine months from the definition of "security" under the Securities Exchange Act of 1934

  17. Section 77b - Definitions; promotion of efficiency, competition, and capital formation

    15 U.S.C. § 77b   Cited 1,407 times   27 Legal Analyses
    Instructing the SEC to consider, "in addition to the protection of investors, whether the action will promote efficiency, competition, and capital formation"

  18. Section 14 - Sale, etc., on agreement not to use goods of competitor

    15 U.S.C. § 14   Cited 1,022 times   4 Legal Analyses
    Forbidding exclusive dealing that substantially lessens competition

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

    17 C.F.R. § 240.10b-5   Cited 9,228 times   134 Legal Analyses
    Holding liable any person who "make any untrue statement of material fact"

  20. Section 230.505 - Reserved

    17 C.F.R. § 230.505   Cited 15 times   3 Legal Analyses
    Exempting offers for up to five million dollars sold to a limited number of purchasers