15 U.S.C. § 77u
Hearings by Commission
All hearings shall be public and may be held before the Commission or an officer or officers of the Commission designated by it, and appropriate records thereof shall be kept.
Notes of Decisions
Cited in 9
cases (2 in the last 5 years), 1938–2023 · leading case: Barry Belmont v. MB Inv. Partners, Inc., 708 F.3d 470 (3rd Cir. 2013).
Barry Belmont v. MB Inv. Partners, Inc., 708 F.3d 470 (3rd Cir. 2013). “§ 1331 and 15 U.S.C. §§ 77u, 78aa, and supplemental jurisdiction pursuant to 28 U.”
Raymond J. Lucia Companies, Inc. v. Sec. & Exch. Comm'n, 832 F.3d 277 (D.C. Cir. 2016). “They do point to the reference to “officers of the Commission” in 15 U.S.C. § 77u, but there is no indication Congress intended these officers to be synonymous with “Officers of the United States” under the Appointments Clause.”
Sec. & Exch. Comm'n v. Weed, 315 F. Supp. 3d 667 (D.D.C. 2018). “§ 77t(d) ; 15 U.S.C. § 77u(d). The imposition of civil penalties is intended to "penalize [the] defendant for .”
Woolley v. United States, 97 F.2d 258 (9th Cir. 1938). “To adopt such interpretation would be to emasculate the provision relating to the appointment of examining officers, and require all proceedings to be conducted by the commission itself. It is said that the court erred in .”
Sec. & Exch. Comm'n v. Leffers, 289 F. App'x 449 (2d Cir. 2008). “…an officer or director of a public company if his conduct showed “substantial unfitness” to serve in such capacities. 15 U.S.C. § 77u(d)(2) (2000).”
Sec. & Exch. Comm'n v. Lyndon, 39 F. Supp. 3d 1113 (D. Haw. 2014). “§ 77t(d), and Section 21(d)(3) of the Exchange Act, 15 U.S.C. § 77u(d)(3).” Id. Lyndon agreed that these amounts would be determined by this court based on a motion by the SEC, that prejudgment interest would run from August 4, 2011, and that, with respect to any such motion,…”
Sec. & Exch. Comm'n v. Mahabub (D. Colo. 2019). “See 15 U.S.C. § 77u(d)(1). The “proper showing” required by these statutes places the burden on the SEC 1 All ECF page citations are to the page number in the CM/ECF header, which does not always match the document’s internal pagination, particularly in briefs with unnumbered…”
Smith v. Swaffer (N.D. Ohio 2021). “See 15 U.S.C. § 77u–4. Specifically, Plaintiffs only make conclusory statements concerning Defendant’s mental state such as Defendant ‘knew these representations were false.”
Sec. & Exch. Comm'n v. Mine Shaft Brewing (D. Utah 2023). “Nemeckay and other Mine Shaft executives pocketed the bulk of investment funds that were supposed to go toward construction and other legitimate business expenses. Mr. Nemeckay alone received more than $1.”
— 15 U.S.C. § 77u(d) — 1 case
Sec. & Exch. Comm'n v. Weed, 315 F. Supp. 3d 667 (D.D.C. 2018). “§ 77t(d) ; 15 U.S.C. § 77u(d). The imposition of civil penalties is intended to "penalize [the] defendant for .”
— 15 U.S.C. § 77u(d)(1) — 1 case
Sec. & Exch. Comm'n v. Mahabub (D. Colo. 2019). “See 15 U.S.C. § 77u(d)(1). The “proper showing” required by these statutes places the burden on the SEC 1 All ECF page citations are to the page number in the CM/ECF header, which does not always match the document’s internal pagination, particularly in briefs with unnumbered…”
— 15 U.S.C. § 77u(d)(2) — 2 cases
Sec. & Exch. Comm'n v. Leffers, 289 F. App'x 449 (2d Cir. 2008). “…an officer or director of a public company if his conduct showed “substantial unfitness” to serve in such capacities. 15 U.S.C. § 77u(d)(2) (2000).”
Sec. & Exch. Comm'n v. Mine Shaft Brewing (D. Utah 2023). “Nemeckay and other Mine Shaft executives pocketed the bulk of investment funds that were supposed to go toward construction and other legitimate business expenses. Mr. Nemeckay alone received more than $1.”
— 15 U.S.C. § 77u(d)(3) — 1 case
Sec. & Exch. Comm'n v. Lyndon, 39 F. Supp. 3d 1113 (D. Haw. 2014). “§ 77t(d), and Section 21(d)(3) of the Exchange Act, 15 U.S.C. § 77u(d)(3).” Id. Lyndon agreed that these amounts would be determined by this court based on a motion by the SEC, that prejudgment interest would run from August 4, 2011, and that, with respect to any such motion,…”
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