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Your query sec or securities returned 42 results.

1000 SEC V. ZANDFORD
[Syllabus]
Assuming that the allegations in the SEC's complaint are true, respondent's alleged fraudulent conduct-selling his customer's securities and using the proceeds for his own benefit without the customer's knowledge or consent-was "in connection with the purchase or sale of any security" within the meaning of §10(b) of the Securities Exchange Act of 1934 and the SEC's Rule 10b-5.
947 SEC V. EDWARDS
[Syllabus]
Whether the Court of appeals erred in dismissing the complaint on the ground that an investment scheme is excluded from the term investment contract in the definitions of ''securities Exchange Act of 1934, 15 U.S.C. 78c(a)(10), if the promoter promises a fixed rather than variable return or if the investor is contractually entitled to a particular amount or rate of return.
345 NORTHERN SECURITIES CO. V. UNITED STATES
[Opinion]
324 NORTHERN SECURITIES CO. V. UNITED STATES
[Dissent]
294 CREDIT SUISSE SECURITIES (USA) LLC V. BILLING
[Syllabus]
258 NORTHERN SECURITIES CO. V. UNITED STATES
[Concurrence]
240 NORTHERN SECURITIES CO. V. UNITED STATES
[Dissent]
240 NORTHERN SECURITIES CO. V. UNITED STATES
[Syllabus]
235 NEBRASKA DEP'T OF REVENUE V. LOEWENSTEIN, 115 S. CT. 557, 130 L. ED. 2D (1994)
[Syllabus]
223 UNITED STATES V. O'HAGAN, 117 S.CT. 2199, 138 L.ED.2D 724 (1997).
[Syllabus]
223
[Syllabus]
203 POLLOCK V. FARMERS' LOAN AND TRUST COMPANY
[Concur in part, dissent in part]
195 DURA PHARMACEUTICALS, INC. V. BROUDO
[Syllabus]
195 MOSKAL V. UNITED STATES, 498 U.S. 103 (1990)
[Syllabus]
186 COMMUNIST PARTY OF THE UNITED STATES V. SUBVERSIVE ACTIVITIES CONTROL BD. NO. 12
[Opinion]
176 POLLOCK V. FARMERS' LOAN AND TRUST COMPANY
[Opinion]
164 HOLMES V. SECS. INVESTOR PROTECTION CORP., 503 U.S. 258 (1992).
[Syllabus]
164 STONERIDGE INVESTMENT PARTNERS, LLC V.SCIENTIFIC-ATLANTA, INC.
[Syllabus]
164 CENTRAL BANK OF DENVER V. FIRST INTERSTATE BANK OF DENVER, 114 S. CT. 1439, (1994)
[Syllabus]
164 WHARF (HOLDINGS) LTD. V. UNITED INT’LHOLDINGS, INC. SYLLABUS
[Syllabus]
A company that sells an option to buy stock while secretly intending never to honor the option violates §10(b) of the Securities Exchange Act of 1934, which prohibits using "any manipulative or deceptive device or contrivance" "in connection with the purchase or sale of any security."
152 TELLABS, INC. V. MAKOR ISSUES & RIGHTS, LTD.
[Syllabus]
152 DELAWARE V. NEW YORK, 507 U.S. 490 (1993).
[Syllabus]
152 SWIFT V. TYSON
[Opinion]
136 GUSTAFSON V. ALLOYD CO., 513 U.S. 561 (1995).
[Syllabus]
136 MUSICK, PEELER & GARRETT V. EMPLOYERS INS. OF WAUSAU, 508 U.S. 286 (1993).
[Syllabus]
136 STEWARD MACHINE CO. V. COLLECTOR OF INTERNAL REVENUE
[Opinion]
136 MURPHY V. FLORIDA
[Opinion]
136 METROPOLITAN LIFE INS. CO. V. WARD
[Opinion]
117 DEPARTMENT OF REVENUE OF KY. V. DAVIS
[Syllabus]
117 KIRCHER V. PUTNAM FUNDS TRUST
[Syllabus]
117 STANDARD OIL CO. OF NEW JERSEY V. UNITED STATES
[Concur in part, dissent in part]
117 PARIS ADULT THEATRE I V. SLATON
[Opinion]
117 DAMES & MOORE V. REGAN
[Opinion]
117 FRANKLIN V. GWINNETT COUNTY PUBLIC SCHOOLS
[Opinion]
117 UNITED STATES V. DARBY
[Opinion]
117 STANDARD OIL CO. OF NEW JERSEY V. UNITED STATES
[Concur in part, dissent in part]
117 NEBBIA V. NEW YORK
[Opinion]
117 AMERICAN COMMUNICATIONS ASSN. V. DOUDS
[Opinion]
117 UNITED STATES V. BROWN
[Opinion]
117 ADAIR V. UNITED STATES
[Dissent]
117 METROPOLITAN LIFE INS. CO. V. WARD
[Syllabus]
117 COMMUNIST PARTY OF THE UNITED STATES V. SUBVERSIVE ACTIVITIES CONTROL BD. NO. 12
[Dissent]
117 UNITED STATES V. BROWN
[Dissent]
92 LAMPF V. GILBERTSON, 501 U.S. 350 (1991)
[Syllabus]
92 GILMER V. INTERSTATE/JOHNSON LANE CORP., 500 U.S. 20 (1991)
[Syllabus]
92 PLAUT V. SPENDTHRIFT FARM, INC., 514 U.S. 211 (1995).
[Syllabus]
92 UNITED STATES V. CARLTON, 512 U.S. 26 (1994).
[Syllabus]
92 MATSUSHITA ELEC. INDUS. CO., LTD., ET AL. V. EPSTEIN ET AL., 516 U.S. 367 (1996)
[Syllabus]
92 SEMINOLE TRIBE OF FLORIDA V. FLORIDA
[Dissent]
92 ASHWANDER V. TENNESSEE VALLEY AUTHORITY
[Opinion]
92 HURTADO V. CALIFORNIA
[Dissent]
92 LOEWE V. LAWLOR
[Opinion]
92 INS V. CHADHA
[Dissent]
92 HURTADO V. CALIFORNIA
[Opinion]
92 UNITED STATES V. LOPEZ
[Concurrence]
92 HARMELIN V. MICHIGAN
[Opinion]
92 ADAIR V. UNITED STATES
[Opinion]
92 WICKARD V. FILBURN
[Opinion]
92 SEMINOLE TRIBE OF FLORIDA V. FLORIDA
[Dissent]
92 ASHWANDER V. TENNESSEE VALLEY AUTHORITY
[Concurrence]
92 UNITED STATES TRUST COMPANY OF NEW YORK V. NEW JERSEY
[Dissent]
92 ALDEN V. MAINE
[Dissent]
92 EX PARTE MILLIGAN
[Opinion]
92 LUTHER V. BORDEN
[Dissent]
58 NATIONSBANK OF N.C. V. VARIABLE ANNUITY LIFE INS. CO., 513 U.S. 251 (1995).
[Syllabus]
58 NATIONAL CREDIT UNION ADMIN. V. FIRST NAT. BANK & TRUST CO., 522 U.S. 479 (1998)
[Syllabus]
58 LUJAN V. NATIONAL WILDLIFE FEDERATION, 497 U.S. 871 (1990)
[Syllabus]
58 WATTERS V. WACHOVIA BANK, N. A.
[Syllabus]
58 DIRECTOR, OFFICE OF WORKERS' COMPENSATION PROGRAMS, DOL V. GREENWICH COLLIERIES, 512 U.S. 267 (1994)
[Syllabus]
58
[Syllabus]
58 MASTROBUONO V. SHEARSON LEHMAN HUTTON, INC., 514 U.S. 52 (1995).
[Syllabus]
58 UNITED STATES V. ESTATE OF ROMANII, 523 U.S. 517 (1998)
[Syllabus]
58 AIR COURIER CONFERENCE V. POSTAL WORKERS, 498 U.S. 517 (1991)
[Syllabus]
58 HOWSAM V. DEAN WITTER REYNOLDS, INC.
[Syllabus]
A National Association of Securities Dealers arbitrator, rather than a court, should apply the NASD Code of Arbitration Procedure's time limit rule to a client's dispute with a broker.
58 GOLLUST V. MENDELL, 501 U.S. 115 (1991)
[Syllabus]
58 KAMEN V. KEMPER FINANCIAL SERVICES, INC., 500 U.S. 90 (1991)
[Syllabus]
58 VIRGINIA BANKSHARES, INC. V. SANDBERG, 501 U.S. 1083 (1991)
[Syllabus]
58 HUMANA INC. V. FORSYTH
[Syllabus]
58 UNITED STATES DEP'T OF TREASURY V. FABE, 508 U.S. 491 (1993).
[Syllabus]
58 ARCADIA V. OHIO POWER CO., 498 U.S. 73 (1990)
[Syllabus]
58 FURMAN V. GEORGIA
[Dissent]
58 BARTKUS V. ILLINOIS
[Dissent]
58 ARIZONA GOVERNING COMMITTEE FOR TAX DEFERRED ANNUITY AND DEFERRED COMPENSATION PLANS V. NORRIS
[Concur in part, dissent in part]
58 HEART OF ATLANTA MOTEL, INC. V. UNITED STATES
[Opinion]
58 HUDSON V. PALMER
[Concur in part, dissent in part]
58 COMMUNIST PARTY OF THE UNITED STATES V. SUBVERSIVE ACTIVITIES CONTROL BD. NO. 12
[Syllabus]
58 MULFORD V. SMITH
[Opinion]
58 MCCULLOCH V. MARYLAND
[Opinion]
58 BRANZBURG V. HAYES
[Opinion]
58 UNITED STATES V. PINK
[Opinion]
58 MILLER V. CALIFORNIA
[Dissent]
58 OREGON V. MITCHELL
[]
58 UNITED STATES V. WATSON
[Dissent]
58 COMMUNIST PARTY OF THE UNITED STATES V. SUBVERSIVE ACTIVITIES CONTROL BD. NO. 12
[Dissent]
58 POLLOCK V. FARMERS' LOAN AND TRUST COMPANY
[Syllabus]
58 BOB JONES UNIV. V. UNITED STATES
[Opinion]
58 UNITED STATES TRUST COMPANY OF NEW YORK V. NEW JERSEY
[Opinion]
58 APTHEKER V. SECRETARY OF STATE
[Dissent]
58 MYERS V. UNITED STATES
[Dissent]
58 HUDSON V. PALMER
[Concur in part, dissent in part]
58 CURTIS PUBLISHING CO. V. BUTTS
[Opinion]
58 CARTER V. CARTER COAL CO.
[Concur in part, dissent in part]
58 A. L. A. SCHECHTER POULTRY CORP. V. UNITED STATES
[Opinion]
58 BMW OF NORTH AMERICA, INC. V. GORE
[Opinion]
58 BARENBLATT V. UNITED STATES
[Opinion]
58 SKINNER V. RAILWAY LABOR EXECUTIVES' ASSOCIATION
[Dissent]
58 HOME BUILDING & LOAN ASSN. V. BLAISDELL
[Dissent]
58 CHEVRON U.S.A., INC. V. NATURAL RESOURCES DEFENSE COUNCIL, INC.
[Opinion]
58 STEWARD MACHINE CO. V. COLLECTOR OF INTERNAL REVENUE
[Syllabus]
58 LOCHNER V. NEW YORK
[Dissent]
58 TEXAS V. WHITE
[Opinion]
58 REGENTS OF THE UNIV. OF CAL. V. BAKKE
[Concur in part, dissent in part]
58 BIGELOW V. VIRGINIA
[Dissent]
58 PROPRIETORS OF CHARLES RIVER BRIDGE V. PROPRIETORS OF WARREN BRIDGE
[Dissent]
58 STANDARD OIL CO. OF NEW JERSEY V. UNITED STATES
[Opinion]
58 POLLOCK V. FARMERS' LOAN & TRUST COMPANY (REHEARING)
[Dissent]
58 CARTER V. CARTER COAL CO.
[Concur in part, dissent in part]
58 ARIZONA GOVERNING COMMITTEE FOR TAX DEFERRED ANNUITY AND DEFERRED COMPENSATION PLANS V. NORRIS
[Concur in part, dissent in part]
58 METROPOLITAN LIFE INS. CO. V. WARD
[Dissent]
58 SWIFT AND COMPANY V. UNITED STATES
[Opinion]
58 DENNIS V. UNITED STATES
[Concurrence]
58 NEW YORK TIMES CO. V. UNITED STATES
[Dissent]
58 HUDSON V. MCMILLIAN
[Concurrence]
58 FLETCHER V. PECK
[Syllabus]
58 NEW YORK TIMES CO. V. UNITED STATES
[Dissent]
58 NIXON V. ADMINISTRATOR OF GENERAL SERVICES
[Dissent]
58 CLINTON V. CITY OF NEW YORK
[Dissent]
1000 SEC V. ZANDFORD
[Syllabus]
Assuming that the allegations in the SEC's complaint are true, respondent's alleged fraudulent conduct-selling his customer's securities and using the proceeds for his own benefit without the customer's knowledge or consent-was "in connection with the purchase or sale of any security" within the meaning of §10(b) of the Securities Exchange Act of 1934 and the SEC's Rule 10b-5.
968 CREDIT SUISSE SECURITIES (USA) LLC V. BILLING
[Syllabus]
945 UNITED STATES V. O'HAGAN, 117 S.CT. 2199, 138 L.ED.2D 724 (1997).
[Syllabus]
908 SEC V. EDWARDS
[Syllabus]
Whether the Court of appeals erred in dismissing the complaint on the ground that an investment scheme is excluded from the term investment contract in the definitions of ''securities Exchange Act of 1934, 15 U.S.C. 78c(a)(10), if the promoter promises a fixed rather than variable return or if the investor is contractually entitled to a particular amount or rate of return.
702
[Syllabus]
619 STONERIDGE INVESTMENT PARTNERS, LLC V.SCIENTIFIC-ATLANTA, INC.
[Syllabus]
581 CENTRAL BANK OF DENVER V. FIRST INTERSTATE BANK OF DENVER, 114 S. CT. 1439, (1994)
[Syllabus]
460 ARCADIA V. OHIO POWER CO., 498 U.S. 73 (1990)
[Syllabus]
242 NEBRASKA DEP'T OF REVENUE V. LOEWENSTEIN, 115 S. CT. 557, 130 L. ED. 2D (1994)
[Syllabus]
241 UNITED STATES DEP'T OF TREASURY V. FABE, 508 U.S. 491 (1993).
[Syllabus]
241 HUMANA INC. V. FORSYTH
[Syllabus]
201 DURA PHARMACEUTICALS, INC. V. BROUDO
[Syllabus]
201 MOSKAL V. UNITED STATES, 498 U.S. 103 (1990)
[Syllabus]
169 HOLMES V. SECS. INVESTOR PROTECTION CORP., 503 U.S. 258 (1992).
[Syllabus]
169 WHARF (HOLDINGS) LTD. V. UNITED INT’LHOLDINGS, INC. SYLLABUS
[Syllabus]
A company that sells an option to buy stock while secretly intending never to honor the option violates §10(b) of the Securities Exchange Act of 1934, which prohibits using "any manipulative or deceptive device or contrivance" "in connection with the purchase or sale of any security."
156 DELAWARE V. NEW YORK, 507 U.S. 490 (1993).
[Syllabus]
156 TELLABS, INC. V. MAKOR ISSUES & RIGHTS, LTD.
[Syllabus]
140 MUSICK, PEELER & GARRETT V. EMPLOYERS INS. OF WAUSAU, 508 U.S. 286 (1993).
[Syllabus]
140 GUSTAFSON V. ALLOYD CO., 513 U.S. 561 (1995).
[Syllabus]
120 KIRCHER V. PUTNAM FUNDS TRUST
[Syllabus]
120 DEPARTMENT OF REVENUE OF KY. V. DAVIS
[Syllabus]
95 UNITED STATES V. CARLTON, 512 U.S. 26 (1994).
[Syllabus]
95 LAMPF V. GILBERTSON, 501 U.S. 350 (1991)
[Syllabus]
95 PLAUT V. SPENDTHRIFT FARM, INC., 514 U.S. 211 (1995).
[Syllabus]
95 MATSUSHITA ELEC. INDUS. CO., LTD., ET AL. V. EPSTEIN ET AL., 516 U.S. 367 (1996)
[Syllabus]
95 GILMER V. INTERSTATE/JOHNSON LANE CORP., 500 U.S. 20 (1991)
[Syllabus]
60 MASSACHUSETTS V. EPA
[Syllabus]
60 NATIONAL CREDIT UNION ADMIN. V. FIRST NAT. BANK & TRUST CO., 522 U.S. 479 (1998)
[Syllabus]
60 LUJAN V. NATIONAL WILDLIFE FEDERATION, 497 U.S. 871 (1990)
[Syllabus]
60 WATTERS V. WACHOVIA BANK, N. A.
[Syllabus]
60 DIRECTOR, OFFICE OF WORKERS' COMPENSATION PROGRAMS, DOL V. GREENWICH COLLIERIES, 512 U.S. 267 (1994)
[Syllabus]
60
[Syllabus]
60 BURNS V. UNITED STATES, 501 U.S. 129 (1991)
[Syllabus]
60 MASTROBUONO V. SHEARSON LEHMAN HUTTON, INC., 514 U.S. 52 (1995).
[Syllabus]
60 UNITED STATES V. ESTATE OF ROMANII, 523 U.S. 517 (1998)
[Syllabus]
60 AIR COURIER CONFERENCE V. POSTAL WORKERS, 498 U.S. 517 (1991)
[Syllabus]
60 JOHN HANCOCK MUTUAL LIFE INS. V. HARRIS TRUST & SAV. BANK, 510 U.S. 86 (1993).
[Syllabus]
60 HOWSAM V. DEAN WITTER REYNOLDS, INC.
[Syllabus]
A National Association of Securities Dealers arbitrator, rather than a court, should apply the NASD Code of Arbitration Procedure's time limit rule to a client's dispute with a broker.
60 GOLLUST V. MENDELL, 501 U.S. 115 (1991)
[Syllabus]
60 KAMEN V. KEMPER FINANCIAL SERVICES, INC., 500 U.S. 90 (1991)
[Syllabus]
60 VIRGINIA BANKSHARES, INC. V. SANDBERG, 501 U.S. 1083 (1991)
[Syllabus]
60 NATIONSBANK OF N.C. V. VARIABLE ANNUITY LIFE INS. CO., 513 U.S. 251 (1995).
[Syllabus]