Home » Professional Practice Areas » SEC Issues

Tripodi, Jr. v. Welch, et al.

  • Summarized by Steven Mulligan , Coan, Payton & Payne, LLC
  • 8 years 12 months ago
Citation:
Tripodi, Jr. v. Welch, et al., Case No. 14-4084 (7th Cir. January 8, 2016). Published.
Ruling:
A default judgment against a person for violating state or federal securities laws will be given preclusive effect, in contrast to certain default judgments under § 523(a)(2), and held to be...
Judge(s):
Kelly, McKay, Phillips (Kelly)
Tag(s):

Securities Invest. Protection Corp. v. 2427 Parent Corp. (In re Bernard L. Madoff Invest. Securities LLC)

  • Summarized by Stephen Falanga , Walsh Pizzi O'Reilly Falanga LLP
  • 9 years 10 months ago
Citation:
Nos. 14‐97‐bk(L) (August Term 2014)
Ruling:
The Securities Investor Protection Act, 15 U.S.C. § 78aaa, et seq. (“SIPA” or “the Act”), does not permit an inflation or interest adjustment to “net equity” claims for customer...
Judge(s):
STRAUB, WESLEY, and LIVINGSTON
Tag(s):

Bavelis v. Doukas (In re Bavelis)

  • Summarized by Dean Langdon , DelCotto Law Group PLLC
  • 10 years 1 month ago
Citation:
Docket No. 14-3067; File name 14a0284p.06
Ruling:
Affirming the decision of the Bankruptcy Appellate Panel (which affirmed the Bankruptcy Court), the Sixth Circuit Court of Appeals rules that the Bankruptcy Court had constitutional authority to...
Judge(s):
Batchelder, Gilman and Gibbons; opinion by Gilman
Tag(s):

Muth v. Muth (In re Muth)

  • Summarized by Bryan Robinson , Law Offices of Bryan Robinson
  • 10 years 8 months ago
Citation:
Muth v. Muth (In re Muth) 10 Cir. B.A.P., CO-13-055 (May 1, 2014) [Not for Publication]
Ruling:
In an unpublished opinion, the 10th Circuit Bankruptcy Appellate Panel Affirmed the ruling by the Bankruptcy Court that dismissed the debtor's chapter 11 case and the award of attorney's fees to...
Judge(s):
THURMAN, Chief Judge, CORNISH, and MICHAEL, Bankruptcy Judges.
Tag(s):

Molchatsky v. U.S.

  • Summarized by Amy Quackenboss , American Bankruptcy Institute
  • 11 years 9 months ago
Citation:
Molchatsky v. U.S., Case No. 11-2510 (2nd Cir. April 10, 2013)
Ruling:
Claims arising from the SEC's actions or inaction in its investigation of the Bernard Madoff Ponzi scheme are shielded by the Discretionary Function Exception to the Federal Tort Claims Act and are...
Judge(s):
Wesley, Droney and Alison Nathan (USDC SDNY) sitting by designation.
Tag(s):

Commodity Futures Trading Commission v. Walsh

  • Summarized by Carrie Hardman , Winston & Strawn LLP
  • 11 years 9 months ago
Citation:
Commodity Futures Trading Comm'n et al. v. 3M Employee Welfare Benefit Assoc. Trust I, et al., Case No. 11-1516-cv(L) (2d Cir. Apr. 3, 2013)
Ruling:
The Second Circuit affirmed the District Court's decision. The Second Circuit held that (1) securities fraud victims may be considered "similarly situated" for purposes of a pro rata distribution...
Judge(s):
Kearse, Pooler, and Livingston.
Tag(s):

The American Cancer Society v. Cook

  • Summarized by Paul Stewart , Stewart Robbins Brown & Altazan, LLC
  • 12 years 9 months ago
Citation:
Fifth Circuit Court of Appeals, Docket no. 10-10989
Ruling:
"Not all securities frauds are Ponzi Schemes." Receiver moved for turnover against charity that received $240,000 from companies prior to receivership, primarily arguing under the Texas Uniform...
Judge(s):
Before JONES, Chief Judge, and HIGGINBOTHAM and SOUTHWICK, Circuit Judges.
Tag(s):

Sherman v. SEC (In re Sherman)

Citation:
Case No. 09-55880 (9th Cir. September 19, 2011)
Ruling:
Reversed the district court and held that the exception to discharge under 11 U.S.C. § 523(a)(19) applies only to debtors who have themselves violated the securities laws, and not to persons who...
Judge(s):
Raymond C. Fisher and Jay S. Bybee, Circuit Judges; Lyle E. Strom, Senior District Judge for the U.S. District Court for Omaha, Nebraska (sitting by designation); Opinion by Circuit Judge, Jay S. Bybee
Tag(s):

In re Bernard L. Madoff Investment Securitites LLC

  • Summarized by Henry Baer , Finn Dixon & Herling LLP
  • 13 years 5 months ago
Citation:
2011 WL 3568936 (2d Cir. August 16, 2011)
Ruling:
The Court was faced with several issues regarding the proper interpretation of the Securities Investor Protection Act, 15 U.S.C. § 78aaa et seq. (“SIPA”). The Court first ruled that the...
Judge(s):
Jacobs, Chief Judge, Leval and Raggi, Circuit Judges. Opinion by Jacobs, Chief Judge.
Tag(s):

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