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United States Case Law

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Securities law 851 F.3d 139; 2016 U.S. App. LEXIS 21677

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee-Cross-Appellant, v. Virginia K. SOURLIS, Defendant-Cross-Claimant-Appellant-Cross-Appellee, John B. Frohling, Hisao Sal Miwa, Defendants-Cross-Claimants-Cross-Defendants, Daniel D. Starczewski, Thomas F. Pierson, Defendants-Cross-Defendants, Greenstone Holdings, Inc., Joe v. Overcash, Jr., Frank J. Morelli, III, James S. Painter, III, Defendants, Active Stealth, LLC, BAF Consulting, Inc., Bluewater Executive Capital, LLC, Emerging Markets Consulting, LLC, KCS Referal Services, LLC, MBA Investors, Ltd., New Age Sports, Inc., Power Network,…

Court
Court of Appeals for the Second Circuit
Case number
Docket 14-2301-cv(L), 14-2937-cv(XAP), 15-3978-cv

The Second Circuit affirmed liability and remedies against attorney Virginia Sourlis for a false opinion letter that enabled issuance of unregistered Greenstone shares.

  • Section 5 securities act (unregistered offers)
  • Section 10(b) exchange act
  • Rule 10b-5
  • Aiding and abetting (section 20(e))
  • Scienter/recklessness
  • Summary judgment
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Securities law 851 F.3d 132; 2016 U.S. App. LEXIS 21678; 2016 WL 7093925

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. John B. FROHLING, Defendant-Cross-Claimant-Cross-Defendant-Appellant, Hisao Sal Miwa, Defendant-Cross-Claimant-Cross-Defendant, Virginia K. Sourlis, Defendant-Cross-Claimant, Daniel D. Starczewski, Joe v. Overcash, Jr., Frank J. Morelli, III, Thomas F. Pierson, Defendants-Cross-Defendants, Active Stealth, LLC, BAF Consulting, Inc., Bluewater Executive Capital, LLC, Emerging Markets Consulting, LLC, KCS Referal Services, LLC, MBA Investors, Ltd., New Age Sports, Inc., Power Network, Inc., Project Development, Inc., Seville Consulting,…

Court
Court of Appeals for the Second Circuit
Case number
Docket 13-3191-cv

The Second Circuit affirmed summary judgment against an attorney who wrote and approved false opinion letters enabling unregistered Greenstone stock offerings.

  • Section 5 securities act
  • Section 17(a) securities act
  • Section 10(b) exchange act
  • Rule 10b-5
  • Rule 144(k)
  • Summary judgment
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Securities law SEC v. Razmilovic

SEC v. Razmilovic

Court
Court of Appeals for the Second Circuit
Case number
18-772

The Second Circuit upheld a default sanction and disgorgement order in an SEC enforcement case, but remanded for recalculation of prejudgment interest and correction of the civil penalty.

  • Disgorgement
  • Prejudgment interest
  • Civil penalty
  • Discovery sanctions
  • Default judgment
  • Recusal
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About this LexChat collection

United States decisions are organised by court, judge, legal area and indexed issue so a practitioner can move from a proposition to a citable authority with the surrounding context intact.

Source links and collection timestamps are retained alongside the indexed records.