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Your query sec securities exchange returned 8 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.
959 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.
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.
931 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.
908 UNITED STATES V. O'HAGAN, 117 S.CT. 2199, 138 L.ED.2D 724 (1997).
[Syllabus]
836 CREDIT SUISSE SECURITIES (USA) LLC V. BILLING
[Syllabus]
642
[Syllabus]
585 STONERIDGE INVESTMENT PARTNERS, LLC V.SCIENTIFIC-ATLANTA, INC.
[Syllabus]
558 CENTRAL BANK OF DENVER V. FIRST INTERSTATE BANK OF DENVER, 114 S. CT. 1439, (1994)
[Syllabus]
418 ARCADIA V. OHIO POWER CO., 498 U.S. 73 (1990)
[Syllabus]