15 U.S.C. § 77yyy

Penalties

Read at: OLRCuscode.house.gov CornellLII GovInfogovinfo.gov JustiaTitle 15 CasesGoogle Scholar

Any person who willfully violates any provision of this subchapter or any rule, regulation, or order thereunder, or any person who willfully, in any application, report, or document filed or required to be filed under the provisions of this subchapter or any rule, regulation, or order thereunder, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $10,000 or imprisoned not more than five years, or both.

Notes of Decisions

Cited in 5 cases, 1968–1994 · leading case: Zeffiro v. First Pennsylvania Banking & Trust Co., 473 F. Supp. 201 (E.D. Pa. 1979).

Sort: Relevance Newest Treatment

Zeffiro v. First Pennsylvania Banking & Trust Co., 473 F. Supp. 201 (E.D. Pa. 1979). · cites it 2× “§ 325, 15 U.S.C. § 77yyy. 6 The general jurisdictional grant of the Act is found in § 322, which states: .”

Morton Globus v. Law Rsch. Serv., Inc., 287 F. Supp. 188 (S.D.N.Y. 1968). “” Second, the criminal penalties visited upon one who files a false and misleading statement only require wilfulness and intentional conduct, but do not require an intent to defraud, 15 U.S.C. §§ 77yyy, 78ff. To impose upon the civil plaintiff the burden of demonstrating intent…”

Penuel v. Titan/Value Equities Grp., Inc., 872 P.2d 28 (Or. Ct. App. 1994). “15 USC § 77yyy. The Securities Exchange Act of 1934 makes it a crime for a person to wilfully or knowingly make, or cause to be made, any statement in any report or document required to be filed by any self-regulating organization which is false or misleading with respect to any…”

United States v. Brashier, 548 F.2d 1315 (9th Cir. 1976). “Proof of specific intent is not necessary to uphold a conviction for the willful violation of other securities statutes which utilize identical language to that contained in the Act.”

Zeffiro v. First Pennsylvania Banking & Trust Co., 623 F.2d 290 (3rd Cir. 1980). “15 U.S.C. § 77yyy. . Section 323 provides in pertinent part: (a) Any person who shall make .”

Annotations are extracted automatically from the opinions in the Syfert caselaw corpus and ranked by authority, recency, and treatment. Dots show Syfertize treatment of the citing case itself.