Securities & Exchange Commission v. Rocklage (2006)
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· 41 citation events
across 7 courts.
Showing the 12 strongest citers on record
(one row per citing case, strongest signal kept).
Treatment trajectory · 2008 → 2026 · click a year to view the case as of then
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United States v. Parigian (2016)
See generally United States v. O’Hagan, 521 U.S. 642, 651-53 , 117 S.Ct. 2199 , 138 L.Ed.2d 724 (1997); SEC v. Rocklage, 470 F.3d 1, 6-7 (1st Cir. 2006).
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United States v. Figueroa-Cartagena (2010)
Cf. SEC v. Rocklage, 470 F.3d 1 , 7 n.3 (1st Cir. 2006) ("Even dicta in Supreme Court opinions [are] looked on with great deference.").
"Even dicta in Supreme Court opinions [are] looked on with great deference."
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Securities and Exchange Commission v. Chan (2020)
Under Section 10(b), a securities fraud violation occurs where an individual “‘use[s] or employ[s], in connection with the purchase or sale of any security . . . any manipulative or deceptive device or contrivance in contravention of’ rules promulgated by the SEC.” SEC v. Rocklage, 470 F.3d 1, 6 (1st Cir. 2006) (quoting 15 U.S.C. § 78j(b)).
quoting 15 U.S.C. § 78j(b)
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Dynamic 3D Geosolutions LLC v. Schlumberger Limited (2016)
See S.E.C. v. Rocklage, 470 F.3d 1 (1st Cir. 2006) (finding that “a wink and a nod” communi- cated confidential information constituting unlawful tipping).
finding that “a wink and a nod” communi- cated confidential information constituting unlawful tipping
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United States v. Bray (2017)
A personal benefit can likewise be inferred where a tipper makes a gift of "inside information to 'a trading relative or friend.'" Salman, 137 S. Ct. at 428 (quoting Dirks, 463 U.S. at 664 ); see also Rocklage, 470 F.3d at 7 n.4 (stating that "the mere giving of a gift to a relative or friend is a sufficient personal benefit").
See, e.g., SEC v. Rocklage, 470 F.3d 1, 3-4 (1st Cir. 2006). 11 .
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United States v. McPhail (2016)
See, e.g., SEC v. Rocklage, 470 F.3d 1 (1st Cir.2006).
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Massachusetts Delivery Ass'n v. Coakley (2012)
See, e.g., SEC v. Rocklage, 470 F.3d 1 , 7 n. 3 (1st Cir.2006) (“Even dicta in Supreme Court opinions is looked on with great deference.”).
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United States v. Gansman (2011)
See, e.g., United States v. Corbin, 729 F.Supp.2d 607 (S.D.N.Y.2010); see also S.E.C. v. Rocklage, 470 F.3d 1 (1st Cir.2006) (civil enforcement action in which only the tippee was liable); S.E.C. v. Yun, 327 F.3d 1263 (11th Cir.2003) (same).
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Securities & Exchange Commission v. Spivak (2016)
See SEC v. Rocklage, 470 F.3d 1 , 7 n.4 (1st Cir.2006). 2 That holding may be in question given the Supreme Court’s grant of certiorari in a case involving a similar issue. 3 Nonetheless, it is currently the con trolling law in this circuit.
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Securities & Exchange Commission v. Andrade (2016)
A gift to a friend or relative is sufficient.” SEC v. Sargent, 229 F.3d 68 , 77 (1st Cir.2000) (quoting S.E.C. v. Warde, 151 F.3d 42, 48-49 (2d Cir.1998)); see also S.E.C. v. Rocklage, 470 F.3d 1 , 7 n. 4 (1st Cir.2006) (“[T]he mere giving of a gift to a relative or friend is a sufficient personal benefit”).
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Securities & Exchange Commission v. Binette (2010)
See also SEC v. Rocklage, 470 F.3d 1, 5 (1st Cir.2006) (denying motions to dismiss and noting that “[t]he misappropriation theory ... creates liability when a tipper or trader misappropriates confidential information from his source of the information” and that the “downstream tippees[’]” liability depended on their knowledge of the misappropriation’s breach of duty); Sargent, 229 F.3d at 71-74 (reversing directed verdict in favor of defendants and finding that Section 10(b)…