27 Cited authorities

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

    101 F.3d 1450 (2d Cir. 1996)   Cited 1,092 times   4 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
  2. Securities & Exchange Commission v. First City Financial Corp.

    890 F.2d 1215 (D.C. Cir. 1989)   Cited 323 times   4 Legal Analyses
    Holding that remedy of disgorgement may be ordered in an amount "causally related" to the wrongdoing "but disgorgement may not be used punitively"
  3. Securities & Exchange Commission v. Manor Nursing Centers, Inc.

    458 F.2d 1082 (2d Cir. 1972)   Cited 529 times   1 Legal Analyses
    Holding that district court properly ordered disgorgement of proceeds for security fraud but that “the court erred in ordering appellants to [disgorge] all the profits and income earned on such proceeds ”
  4. Securities & Exchange Commission v. Management Dynamics, Inc.

    515 F.2d 801 (2d Cir. 1975)   Cited 409 times
    Holding that the Securities and Exchange Commission need not demonstrate irreparable injury where seeking injunctive relief pursuant to statutory authorization
  5. S.E.C. v. UNIFUND SAL

    910 F.2d 1028 (2d Cir. 1990)   Cited 242 times
    Holding that the SEC need not show the likelihood of a recurring violation of securities law to obtain an injunction freezing the assets of a named defendant, since such an injunction aims only to preserve the SEC's opportunity to collect funds.
  6. Securities & Exchange Commission v. Calvo

    378 F.3d 1211 (11th Cir. 2004)   Cited 150 times   1 Legal Analyses
    Concluding that a limitations defense did not apply to the Securities Exchange Commission (SEC) when it is sued to enforce securities laws, thus "vindicating public rights and furthering public interests"
  7. Securities and Exchange v. Hughes Capital

    124 F.3d 449 (3d Cir. 1997)   Cited 125 times
    Holding that a district court did not abuse its discretion in refusing to admit altered copies of a record under Rule 803 because the records indicated "a lack of trustworthiness"
  8. Securities & Exchange Commission v. JT Wallenbrock & Associates

    440 F.3d 1109 (9th Cir. 2006)   Cited 97 times
    Holding that where "the defendants benefitted from the use of investors' money to spend at the defendants' discretion—whether to cover operating expenses, invest in start-up companies, pay personal expenses or to pay fake returns to investors to perpetuate the fraud" all such uses of investor money represented "an ill-gotten gain that unjustly enriched the defendants"
  9. Securities and Exchange Commission v. Blatt

    583 F.2d 1325 (5th Cir. 1978)   Cited 191 times   1 Legal Analyses
    Holding that "[d]isgorgement is remedial and not punitive"
  10. Sec. & Exch. Comm'n v. Goble

    682 F.3d 934 (11th Cir. 2012)   Cited 60 times   5 Legal Analyses
    Holding that an "obey-the-law" injunction violates Rule 65(d)
  11. Rule 58 - Entering Judgment

    Fed. R. Civ. P. 58   Cited 12,249 times   7 Legal Analyses
    Requiring that "[e]very judgment shall be set forth on a separate document"
  12. Section 78u - Investigations and actions

    15 U.S.C. § 78u   Cited 1,712 times   68 Legal Analyses
    Granting the SEC the power to seek civil penalties for violations of the Exchange Act
  13. Section 6621 - Determination of rate of interest

    26 U.S.C. § 6621   Cited 1,486 times   16 Legal Analyses
    Applying a higher interest rate to past liabilities resulting from tax-motivated transactions
  14. Section 77t - Injunctions and prosecution of offenses

    15 U.S.C. § 77t   Cited 1,079 times   11 Legal Analyses
    Granting the SEC the power to seek civil penalties for violations of the Securities Act