15 U.S.C. § 780

Office of Private Grievances and Redress

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(a) Establishment; director; statement of purpose

The Administrator shall establish and maintain an Office of Private Grievances and Redress, headed by a director, to receive and evaluate petitions filed in accordance with subsection (b) of this section, and to make recommendations to the Administrator for appropriate action.

(b) Petition for special redress, relief, or other extraordinary assistance; nature of remedy

Any person, adversely affected by any order, rule, or regulation issued by the Administrator in carrying out the functions assigned to him under this chapter, may petition the Administrator for special redress, relief, or other extraordinary assistance, apart from, or in addition to, any right or privilege to seek redress of grievances provided in section 766 of this title.

The Administrator shall submit to the Secretary for inclusion in the annual report required by section 7267 of title 42 a statement on the nature and number of the grievances which have been filed, and the action taken and relief provided, pursuant to this section; and he shall make recommendations to the Congress from time to time concerning legislative or administrative actions which may be taken to better assist persons adversely affected by the energy shortages and to distribute more equitably the burdens resulting from any measures adopted, or actions taken, by him.

(Pub. L. 93–275, § 21, May 7, 1974, 88 Stat. 112; Pub. L. 96–470, title II, § 203(h), Oct. 19, 1980, 94 Stat. 2244.)Editorial NotesAmendments

1980—Subsec. (c). Pub. L. 96–470 substituted “submit to the Secretary for inclusion in the annual report required by section 7267 of title 42 a statement” for “report quarterly to the Congress”.

Statutory Notes and Related SubsidiariesTransfer of Functions

Federal Energy Administration terminated and functions vested by law in Administrator thereof transferred to Secretary of Energy (unless otherwise specifically provided) by sections 7151(a) and 7293 of Title 42, The Public Health and Welfare.

Notes of Decisions

Cited in 67 cases (14 in the last 5 years), 1949–2026 · leading case: Bartko v. Sec. & Exch. Comm'n, 845 F.3d 1217 (D.C. Cir. 2017).

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Bartko v. Sec. & Exch. Comm'n, 845 F.3d 1217 (D.C. Cir. 2017). · cites it 2× “Because each statute required a market participant to be, at a minimum, “seeking to become associated” with a class before he could be barred from it, see 15 U.S.C. §§ 780 (b)(6)(A), 78o-4(c)(4), 78q-l(e)(4)(C), 80b-3(f) (2000), we held that the Commission could not bar an…”

Aaron v. Sec. & Exch. Comm'n, 446 U.S. 680 (1980). “The term "device" also was used in § 15 *708 (c) (1) of the Securities Exchange Act, 15 U. S. C. § 780 (c) (1), where it has been interpreted with congressional approval to apply to negligent acts and practices.”

United States v. James Frith, Jr., 461 F.3d 914 (7th Cir. 2006). “15c3-l; one count of willfully violating Special Reserve requirements on or about September 30, 1997, 15 U.S.C. §§ 780 (c)(3), 78ff; 17 C.F.R. §§ 240 .”

Howard v. Sec. & Exch. Comm'n, 376 F.3d 1136 (D.C. Cir. 2004). “15 U.S.C. §§ 780 (b)(6)(A), 78o(b)(4)(E).”

Winthrop F. Davis v. Chevy Chase Fin. Ltd. & B. Francis Saul, 667 F.2d 160 (D.C. Cir. 1981). “15 U.S.C. § 780 ) (1976). 22 . 17 C.F.R. § 240.”

Sec. & Exch. Comm'n v. Pasternak, 561 F. Supp. 2d 459 (D.N.J. 2008). · cites it 2× “¶¶ 78-81 (citing 15 U.S.C. § 780 (c)(1)(A))). In Count IV, the SEC claims that Defendants aided and abetted Knight’s violations of Section 17(a) of the Exchange Act and Rule 17a-3 thereunder.”

In Re Cross Media Mktg. Corp. Sec. Litig., 314 F. Supp. 2d 256 (S.D.N.Y. 2004). “In the first cause of action, they assert that all Defendants violated Section 10(b) of the Securities Exchange Act of 1934 ( 15 U.S.C. § 780 (b)), and Rule 10b-5 promulgated thereunder ( 17 C.”

State v. Fairchild, 298 S.E.2d 110 (W. Va. 1982). “Cowett, Blue Sky Law at 273 (1958), where it is stated in reference to the term "willfully" as used in the Uniform Securities Act: As the federal courts and the SEC have construed the term "willfully” in § 15(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 780 (b), all…”

United States Sec. & Exch. Comm'n v. Battoo, 158 F. Supp. 3d 676 (N.D. Ill. 2016). · cites it 2× “1 The SEC now moves for summary judgment against the one remaining, defendant (the others defaulted), Tracy Sunderlage, for violating Section 15 of the Securities Exchange Act of 1934 [ 15 U.S.C. §§ 780 (a)(1), 78o(b)(6)(B)(i)] and Section 203(f) of the Investment Advisers Act…”

Caligiuri v. First Colony Life Ins., 742 N.E.2d 750 (Ill. App. Ct. 2000). “(MLPF&S), a broker-dealer registered under section 15 of the federal Securities Exchange Act of 1934 (see 15 U.S.C. § 780 (1998)) (Exchange Act), a member of the New York Stock Exchange, Inc.”

Russell G. Koch, Petitioner, v. Sec. & Exch. Comm'n, Respondent, 177 F.3d 784 (9th Cir. 1999). · cites it 2× “[ 15 U.S.C. § 780 (b)(6)(A)] will provide the Commission with the necessary flexibility to prevent the participation of barred persons in the penny stock distribution process by means of affiliations with broker-dealers and penny stock issuers.”

Wonsover v. Sec. & Exch. Comm'n, 205 F.3d 408 (D.C. Cir. 2000). “The Commission complied with the statute’s directives and expressly considered, among other aggravating and mitigating factors, “the effect of Wonsover’s misconduct on both the securities industry as a profession and on the investing public.”

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— 15 U.S.C. § 780(b)(7)(C) — 1 case

Brewster v. Maryland Sec. Comm'r, 548 A.2d 157 (Md. Ct. Spec. App. 1988).

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