table of authorities · t–5 table of authorities (securities investigations, rel. 8, 10/18) dirks...

T–1(Securities Investigations, Rel. #8, 10/18)

Table of Authorities

(References are to pages.)

CASES

(Includes NLRB cases.)

AAaron v. SEC .......................................................................... 2-5, 2-6Absolute Activist Value Master Fund Ltd. v. Ficeto ............. 2-29, 2-30Abu Dhabi Commercial Bank v.

Morgan Stanley & Co. Inc. ................................................. 17-10Adams v. City of Battle Creek ................................................... 18-11Adams v. United States ............................................................... 7-30Aetna Cas. & Sur. Co. v. State Farm Mut. Auto. Ins. Co. .......... 16-55Alcon Mfg., Ltd. v. Apotex Inc. .................................................... 7-34Allen, In re .................................................................................. 7-17Allen v. Admin. Review Bd. ....................................................... 18-65Allied Stores Corp., In re ........................................................... 16-58Altman v. SEC ................................................................ 15-31, 15-33Am. Mut. Ins. Co. v. W.C. Bradley Co. ........................... 16-42, 16-43Am. S.S. Owners Mut. Prot. & Indem.

Ass’n v. Alcoa S.S. Co. ........................................................ 17-14Amgen Inc. v. Conn. Ret. Plans & Tr. Funds ................................. 2-7Anchortank, Inc. v. NLRB ......................................................... 18-42Anthony v. Northwestern Mut. Life Ins. Co. ............................. 18-60Antonucci, Ex parte ................................................................... 15-28Appalachian Power Co. ............................................................. 18-42Arbitration Between Peter Jay Goldman, Claimant v.

UBS Bank USA & UBS Fin. Servs, Inc., In re ..................... 18-55

SECURITIES INVESTIGATIONS

T–2

Arias v. Mut. Cent. Alarm Serv., Inc. ........................................ 18-10Arjent LLC v. SEC ..................................................................... 15-33Arthur Andersen LLP v. United States ........................................ 3-24Asadi v. G.E. Energy (USA), LLC ............................................... 18-76Astra Aktiebolag v. Andrx Pharm., Inc. ......................................... 7-3Aventa Learning, Inc. v. K12, Inc. ............................................. 18-17Avila v. Valentin-Maldonado ..................................................... 18-25

BBackhaut v. Apple, Inc. ................................................................ 18-9Baker v. GMC ............................................................................. 7-16Bandimere v. SEC ........................................................................ 9-45Bank Brussels Lambert v.

Credit Lyonnais (Suisse) S.A. ......................................... 7-3, 7-18Barker v. UBS AG ...................................................................... 18-67Barnhill v. Boilermakers Nat’l Health & Welfare Fund ................ 7-34Basic, Inc. v. Levinson ................................................................... 2-7Baton Rouge Water Works Co.................................................... 18-42Baxter v. Palmigiano ......................................................... 11-7, 15-26Beacom v. Oracle Am., Inc. ....................................................... 18-68Bear Republic Brewing Co. v. Cent. City Brewing Co. ........ 7-20, 7-31Bebo v. SEC ........................................................................ 9-44, 9-45Becker v. Cmty. Health Sys. Inc. ............................................... 18-70Bellis v. United States ............................................................... 16-32Bennett Silvershein Assocs. v. Furman .......................................... 7-4Benson v. Wells Fargo Bank, N.A. ............................................. 18-34Bernhard v. City of Ontario ....................................................... 18-24Berry v. Funk ............................................................................. 18-10Beverly v. Wal-Mart Stores, Inc. ................................................. 18-36Billings v. Atkinson ................................................................... 18-10Binks Mfg. Co. v. Nat’l Presto Indus., Inc. .................................. 7-10Biondi v. Scrushy ........................................................................... 6-7Bio-Rad Labs, Inc. v. Pharmacia, Inc. ............................................ 7-9Blanchard v. Exelis Sys. Corp. ................................................... 18-61Bd. of Trs., Sheet Metal Workers’ Nat’l Pension Fund v.

Palladium Equity Partners, LLC ............................................ 7-30Bogatin v. Fed. Ins. Co. ............................................................. 16-55Borninski v. Williamson ............................................................ 18-10Braswell v. United States ......................................... 8-18, 11-7, 16-33Brazinski v. Amoco Petroleum Additives Co. ............................ 18-24Briggs v. Am. Air Filter Co. ....................................................... 18-11Burton v. R.J. Reynolds Tobacco Co. .............................................. 7-6Butler Med. Transport, LLC ...................................................... 18-19

T–3


(Securities Investigations, Rel. #8, 10/18)

CCady, Roberts & Co., In re ............................................................ 2-9Callahan v. United States ............................................................ 3-16Campbell v. Facebook .............................................. 18-8, 18-9, 18-10Canada v. Aspen Tech. .............................................................. 15-29Cantu v. TitleMax, Inc. ............................................................. 17-16Cardinal Health, Inc. Sec. Litig., In re ....................................... 16-39Caremark, Inc. v.

Affiliated Comput. Servs., Inc. ......................7-8, 7-9, 7-10, 7-16Carnero v. Bos. Sci. Corp. ......................................................... 18-61Carpenter v. United States ...............................3-16, 3-18, 3-19, 3-20Carter v. Cornell Univ. .................................................................. 7-5Carter v. County of Los Angeles ................................................ 18-25Castaneda v. Partida ...................................................................... 8-4Cavallaro v. United States ................................................ 7-16, 17-17Cedeno v. Intech Grp., Inc. ......................................................... 2-29Cent. Bank of Denver, N.A. v.

First Interstate Bank of Denver, N.A. ................................... 2-31Cerro Gordo Charity v. Fireman’s Fund Am. Life Ins. Co. .......... 15-26Charles v. Profit Inv. Mgmt. ...................................................... 18-58Chau v. SEC ................................................................... 15-33, 15-34Chiarella v. United States ..............................................2-9, 2-13, 3-7Chick-fil-A v. ExxonMobil Corp. ................................................. 7-30Chrysler Motors Corp. Overnight Evaluation

Program Litig., In re ....................................... 5-19, 15-24, 15-25Cintas Corp. v. N.L.R.B. ........................................................... 18-44Citibank, N.A. v. Hakim ........................................................... 15-28City of Ontario, Cal. v. Quon .................................................... 18-15Cleantech Innovations, Inc. v. NASDAQ Stock Mkt., LLC ......... 15-33Coachmen Indus. Inc. v. Kemlite .................................................. 7-9Cobb Mech. Contractors, Inc. ................................................... 18-27Cole v. U.S. Capital, Inc. ........................................................... 18-33Coleman v. Sterling ..................................................................... 7-31Columbia Data Prods., Inc. v. Autonomy Corp. Ltd. ................. 17-17Columbia/HCA Healthcare Corp.

Billing Prac. Litig., In re .....................................5-19, 7-27, 7-29, ..................................................................... 15-23, 15-24, 15-25

Commodity Futures Trading Comm’n v. Weintraub .................... 7-22Cmty. Bank v. Progressive Cas. Ins. Co. ...................................... 7-34Concone v. Capital One Fin. Corp. ........................................... 18-61Conduct of Ellis, In re ............................................................... 18-41Conn. Humane Soc’y & Int’l Assoc. of

Machinists & Aerospace Workers, AFL-CIO ...................... 18-20


T–4

Consolidation Coal Co. v. Bucyrus-Erie Co. .............................. 16-43Consumer Fin. Prot. Bureau v. Sprint Corp. .............................. 15-39Conte v. Newsday, Inc. ................................................................ 18-6Cont’l Cas. Co. v. St. Paul Surplus Lines Ins. Co. ....................... 6-28Coordinated Pretrial Proceedings, In re ....................................... 7-18Cornwell v. Credit Suisse Grp. .................................................... 2-28Cory v. Allstate Ins. ................................................................... 18-55Costco Wholesale Corp. ................................................. 18-19, 18-21Costello v. United States .................................................... 8-11, 8-12Cottillion v. United Ref. Co. ...................................................... 17-16County of Erie, In re ..................................................................... 7-6Court-Appointed Receiver Mgmt. Grp. LLC v. Lauer ................. 15-28Cowles v. State .......................................................................... 18-25Cox v. Adm’r U.S. Steel & Carnegie ............................................ 7-19Cramer v. Consol. Freightways, Inc. .......................................... 18-24Crededio, In re ............................................................................ 8-20Credit Suisse First Bos. v. Billing ................................................. 15-7Crispin v. Christian Audigier, Inc. ............................................. 18-21Crist v. Alpine Union Sch. Dist...................................... 18-25, 18-26Crowley v. CyberSource Corp. ..................................................... 18-6Crowley v. Watson ..................................................................... 18-70Cruz v. Coach Stores, Inc. ........................................................... 7-13Cunha v. IntelliCheck, LLC ...................................................... 18-35Curcio v. United States ......................................... 11-7, 15-26, 16-39

DDaimler AG v. Bauman ............................................................. 18-60Davis v. United States ............................................................... 16-37Davis-Lynch, Inc. v. Moreno ..................................................... 16-41Day v. Staples, Inc. .................................................................... 18-65Dayco Corp. Derivative Sec. Litig., In re ...................7-19, 7-24, 7-25Deal v. Spears .............................................................................. 18-9Denney v. Jenkins & Gilchrist ...................................................... 7-5Dep’t of Enf ’t v. Kent M. Houston, Carlsbad,

CA, In the Matter of ........................................................... 12-14Dep’t of Enf ’t v. Legacy Trading Co. &

Mark A. Uselton, Edmond, OK .......................................... 12-14Dep’t of Enf ’t v. Respondents .................................................... 12-15Deremer v. Gulfmark Offshore, Inc. .......................................... 18-63DeVittorio v. Hall ...................................................................... 18-25Dietz v. Cypress Semiconductor Corp. ...................................... 18-69Dig. Realty Tr., Inc. v. Somers ................................................... 18-73

T–5



Dirks v. SEC ...................................................................... 2-22, 2-23, ............................................................................. 2-24, 2-25, 3-8

Diversified Indus. v. Meredith ........................................... 5-19, 7-22, ....................................................................... 7-26, 15-23, 15-24

Doe v. United States ........................................................ 8-18, 16-39Dometic Sales Corp. v. Intertherm, Inc. ........................................ 7-6Douglas Oil Co. of Cal. v. Petrol Stops Nw. ........................ 8-9, 15-15Dowling v. Am. Haw. Cruises, Inc. ........................................... 16-39D.R. Horton, Inc., In re............................................................. 18-44D.R. Horton, Inc. v. N.L.R.B. .................................................... 18-44Duka v. SEC ................................................................................ 9-45Dura Pharm., Inc. v. Broudo ......................................................... 2-7Duren v. Missouri ......................................................................... 8-4

EEde v. Swatch Grp. .................................................................... 18-61Eden Isle Marina, Inc. v. United States ....................................... 7-31EEOC v. Brown & Root, Inc. ....................................................... 9-39Ehling v. Monmouth-Ocean Hosp. Serv. Corp. ......................... 18-21Elliott Assocs. v. Porsche Automobil Holding SE ......................... 2-28Emich Motors Corp. v. Gen. Motors Corp. ............................... 15-39Enron Corp. Sec., Derivative & ERISA Litig., In re........................ 6-8Envtl. Tectonics v. W.S. Kirkpatrick Inc. .................................... 14-16Epic Systems Corp. v. Lewis ...................................................... 18-44Epilepsy Found. of Ne. Ohio ..................................................... 18-43Epps v. St. Mary’s Hosp. ........................................................... 18-10Epstein v. Epstein ........................................................................ 18-7Erhart v. Bofl Holding Inc. ......................................................... 18-55Erica P. John Fund, Inc. v. Halliburton Co. .................................... 2-8Ernst & Ernst v. Hochfelder .......................................................... 2-6Estes v. United States .................................................................... 8-5Ex parte Antonucci .................................................................... 15-28Ex parte United States................................................................. 8-13Experience Hendrix, LLC v. Chalpin ......................................... 16-41Exxon Mobil v. Allapattah ........................................................... 2-16

FFacebook, Inc. v Superior Court ................................................ 18-21FDIC v. Fiduciary & Deposit Co. .............................................. 15-26Fed. Energy Regulatory Comm’n v. Barclays Bank PLC ............... 2-37Feeney v. SEC ............................................................................ 16-37


T–6

Feldman v. Law Enf ’t Assocs. Corp. .......................................... 18-67Felman Prod., Inc. v. Indus. Risk Insurers ................................... 7-34First F.S.B. of Hegewisch v. United States ....................... 17-16, 17-17First Hawaiian Bank v. Russell & Volkening, Inc. ........................... 7-4First Horizon National Corp. v.

Houston Casualty Co. ........................................................ 17-13Fisher v. United States ....................................................... 7-3, 16-32Fiswick v. United States ............................................................ 14-13Flagg v. City of Detroit ............................................................... 18-9Fleszar v. U.S. Dep’t of Labor ......................................... 18-58, 18-59Frank v. Mangum ...................................................................... 15-39Fraser v. Nationwide Mut. Ins. Co. ............................................. 18-6Free Enter. Fund v. Pub. Co.

Accounting Oversight Bd. .........................................1-8, 5-7, 5-8Freedom Calls Found. v. Bukstel ............................................... 18-12FSA v. Amro Int’l SA & Creon Mgmt. SA ................................. 13-33F.T.C. v. TRW, Inc. ....................................................................... 7-11

GGabelli v. SEC ............................................................................. 2-36Gallagher v. Granada Entm’t USA ............................................ 18-71Garrity v. John Hancock Mut. Life Ins. Co. ............................... 18-14Gellis v. Casey ........................................................................... 15-27Gilman v. Marsh & McLennan Cos., Inc. ...................... 18-38, 18-54Genberg v. Porter ....................................................................... 18-68Genentech v. U.S. Int’l Trade Comm’n ..................................... 15-23Gen. Die Casters, Inc. ............................................................... 18-42Gen. Motors Class H S’holders’ Litig., In re .................................. 6-7Getman v. Sw. Sec., Inc. ............................................................ 18-71Gibney v. Evolution Mktg. Research, LLC ...........18-60, 18-63, 18-68Gilbert v. California .................................................................. 16-39Golden Trade, S.r.L. v. Lee Apparel Co. ......................................... 7-3Google Inc. Gmail Litig., In re .......................................... 18-8, 18-9,

................................................................................ 18-10, 18-11Gordon Brent Pierce, In re......................................................... 16-59Gottlieb v. Wiles .......................................................................... 7-12Graham v. Allis-Chalmers Mfg. Co. ............................................ 6-30Grand Jury, In re ................................................................... 8-7, 8-9,

....................................................................... 8-27, 15-10, 16-45Grand Jury, John Doe, In re ........................................................ 8-23Grand Jury Investigation, In re .................................................. 16-39Grand Jury Investigation (Schroeder), In re ................................. 7-20Grand Jury Matter (Catania), In re ............................................ 16-35

T–7



Grand Jury Proceedings, In re .....................................7-9, 7-11, 7-22, ..................................................................... 16-35, 16-39, 16-44

Grand Jury Proceedings (Schofield I), In re ................................ 16-31Grand Jury Proceedings (Schofield II), In re ............................... 16-31Grand Jury Proceedings v. John Doe, In re .................................. 7-23Grand Jury Subpoena, In re ................................................. 8-8, 8-11,

.................................................................................. 8-12, 16-34Grand Jury Subpoena (Mr. S.), In re ............................................ 8-23Grand Jury Subpoena Dated July 6, 2005, In re ............................ 7-8Grand Jury Subpoena Duces Tecum, In re .......................... 8-11, 8-27Grand Jury Subpoena Duces Tecum (Dorokee Co.), In re ............ 16-31Grand Jury Subpoena Served on Meserve,

Mumper & Hughes, In re ..................................................... 8-11Grand Jury Subpoenas, In re ............................8-9, 8-12, 8-22, 16-34Grand Jury Subpoenas Duces Tecum, In re ................................. 7-20Gray Fin. Grp., Inc. v. SEC .......................................................... 9-45Green Grand Jury Proceedings, In re ...........................7-7, 7-16, 8-11Griffin v. City of Milwaukee ........................................................ 18-9Griggs-Ryan v. Smith................................................................... 18-9Groshek v. Time Warner Cable, Inc. ......................................... 18-34Grossfeld v. Commodity Futures Trading Comm’n ..................... 15-5Gruss v. Zwirn ...........................................6-22, 15-21, 15-24, 15-25Guardsmark, LLC v. N.L.R.B. .................................................. 18-44Gucci Am., Inc. v. Guess?, Inc. ..................................................... 7-3Gulf State Mfg., Inc. v. NLRB .................................................... 18-42Gupta v. SEC ............................................................ 2-41, 9-42, 9-43,

..............................................................9-44, 15-4, 15-30, 15-33

HHagman v. Wash. Mut. Bank, Inc. ............................................. 18-71Haigh v. Constr. Indus. &

Laborers Joint Pension Tr. for S. Nev. .................................. 17-16Haines v. Liggett Grp., Inc........................................................... 7-18Hale v. Henkel............................................................................. 8-18Halliburton v. Admin. Review Bd. ............................................. 18-70Halloum v. Intel Corp. .............................................................. 18-65Hanna v. WCI Cmtys., Inc. ....................................................... 18-71Hargrett v. Amazon.com DEDC LLC ........................................ 18-35Harkness v. C-Bass Diamond, LLC ........................................... 18-65Harp v. Charter Commc’ns, Inc. ............................................... 18-66Harper & Row Publishers, Inc. v. Decker .................................... 7-22Hay v. Burns Cascade Co. ................................................ 18-8, 18-10Helvering v. Mitchell ................................................................... 15-5


T–8

Hemphill v. Celanese Corp. ...................................................... 18-71Heriot v. Byrne ............................................................................ 7-33Hernandez v. Hillsides, Inc. ........................................... 18-26, 18-27Hernly v. United States ........................................................ 8-8, 8-27Hickman v. Taylor ......................................................................... 7-8Hill v. SEC .................................................................................. 9-45Hohenwater v. Roberts Pharm. Corp. .......................................... 7-18Hollinger Int’l Inc. v. Hollinger Inc. ................................... 7-10, 7-25Holmes v. Petrovich Dev. Co. .................................................... 18-17Homestore, Inc. v. Tafeen .......................................................... 18-48Hondo Nat’l Bank v. Gill Sav. Ass’n ............................................ 2-15Honeywell Int’l Sec. Litig., In re ................................................ 17-16Horowitz, In re .............................................................................. 7-5Houston Am. Energy Corp. Sec. Litig., In re ............................. 16-58Hudson v. United States .................................................. 15-5, 16-64Hurtado v. California .................................................................... 8-4

IIBM Corp. ................................................................................. 18-43Imperial Corp. of Am., In re ...................................................... 16-55Impounded, In re ........................................................................ 8-23In re Allen ................................................................................... 7-17In re Allied Stores Corp. ............................................................ 16-58In re Arbitration Between Peter Jay Goldman, Claimant v.

UBS Bank USA & UBS Fin. Servs., Inc. ............................. 18-55In re Cady, Roberts & Co. ............................................................. 2-9In re Cardinal Health, Inc. Sec. Litig. ........................................ 16-39In re Chrysler Motors Corp.

Overnight Evaluation Program Litig. ..............5-19, 15-24, 15-25In re Columbia/HCA Healthcare Corp.

Billing Prac. Litig. .............................................. 5-19, 7-27, 7-29, ..........................................................15-23, 15-25, 15-24, 15-25

In re Conduct of Ellis ................................................................ 18-41In re Coordinated Pretrial Proceedings ........................................ 7-18In re County of Erie ...................................................................... 7-6In re Crededio ............................................................................. 8-20In re Dayco Corp. Derivative Sec. Litig. ....................7-19, 7-24, 7-25In re D.R. Horton, Inc............................................................... 18-44In re Enron Corp. Sec., Derivative & ERISA Litig.......................... 6-8In re Gen. Motors Class H S’holders’ Litig. ................................... 6-7In re Google Inc. Gmail Litig. ......................18-8, 18-9, 18-10, 18-11In re Gordon Brent Pierce.......................................................... 16-59

T–9



In re Grand Jury ......................................8-7, 8-9, 8-27, 15-10, 16-45In re Grand Jury, John Doe ......................................................... 8-23In re Grand Jury Investigation ................................................... 16-39In re Grand Jury Investigation (Schroeder) .................................. 7-20In re Grand Jury Matter (Catania) ............................................. 16-35In re Grand Jury Proceedings ......................................7-9, 7-11, 7-22,

..................................................................... 16-35, 16-39, 16-44In re Grand Jury Proceedings (Schofield I) ................................. 16-31In re Grand Jury Proceedings (Schofield II) ................................ 16-31In re Grand Jury Proceedings v. John Doe ................................... 7-23In re Grand Jury Subpoena ...............................8-8, 8-11, 8-12, 16-34In re Grand Jury Subpoena (Mr. S.) ............................................. 8-23In re Grand Jury Subpoena Dated July 6, 2005 ............................. 7-8In re Grand Jury Subpoena Duces Tecum ........................... 8-11, 8-27In re Grand Jury Subpoena Duces Tecum (Dorokee Co.)............. 16-31In re Grand Jury Subpoena Served on Meserve,

Mumper & Hughes .............................................................. 8-11In re Grand Jury Subpoenas .............................8-9, 8-12, 8-22, 16-34In re Grand Jury Subpoenas Duces Tecum .................................. 7-20In re Green Grand Jury Proceedings ............................7-7, 7-16, 8-11In re Honeywell Int’l Sec. Litig. ................................................. 17-16In re Horowitz ............................................................................... 7-5In re Houston Am. Energy Corp. Sec. Litig. .............................. 16-58In re Imperial Corp. of Am. ....................................................... 16-55In re Impounded ......................................................................... 8-23In re Infineon Techs. AG Sec. Litig. ............................................. 2-29In re Initial Pub. Offering Sec. Litig. ............................... 15-23, 16-58In re JDS Uniphase Corp. Sec. Litig. ................................ 7-16, 17-10In re J.P. Morgan Chase & Co. S’holder Litig................................. 6-7In re Kaiser Aluminum & Chem. Co. ......................................... 7-11In re Keeper of Records ................................................................ 8-23In re Kellogg Brown & Root, Inc. ........................................ 6-18, 6-29In re King Pharm., Inc. Sec. Litig. ............................................. 17-14In re LaBranche Sec. Litig. ......................................................... 15-29In re Lernout & Hauspie Sec. Litig. ........................................... 15-30In re Leslie Fay Cos. Sec. Litig. ........................................... 7-24, 7-25In re LIBOR-Based Fin. Instruments Antitrust Litig. .................. 15-14In re Martin Marietta Corp. .............................................. 5-19, 7-27,

....................................................................... 7-28, 15-23, 15-24In re McVane ............................................................................... 9-28In re MicroStrategy, Inc. .............................................................. 2-45In re Nat’l Sec. Letter .................................................................. 8-27In re Nat. Gas Commodity Litig. .............................................. 15-24In re Oracle Corp. Derivative Litig. ............................................... 6-7


T–10

In re Pac. Pictures Corp. .................................6-22, 7-21, 7-27, 15-23In re Par Pharm. Inc., Derivative Litig. ............................... 6-30, 7-24In re Paradigm Capital Mgmt., Inc. &

Candace King Weir ............................................................. 14-21In re Perlin ................................................................................ 15-15In re Pfizer, Inc. Sec. Litig. ......................................... 7-6, 17-9, 17-16In re Pharmatrak, Inc. ................................................................. 18-9In re Pik v. Credit Suisse AG ..................................................... 18-61In re Platinum & Palladium Commodities Litig. ....................... 16-61In re Qwest Commc’ns Int’l, Inc. .............................5-19, 7-21, 7-27,

............................................................7-27, 15-24, 15-25, 16-39In re Reserve Fund Sec. & Derivative Litig. ............................... 18-14In re Richard Roe, Inc. ................................................................ 7-20In re Rough Rice Commodity Litig. ........................................... 16-61In re Royal Bank of Scot. Grp. PLC Sec. Litig. ............................. 2-28In re SandRidge Energy, Inc. S’holder Derivative Litig. ................ 7-18In re Schnitzer Steel Indus., Inc. ................................................. 14-8In re Seagate Tech., LLC .............................................................. 7-21In re Short Sale Antitrust Litig. ................................................... 15-7In re Sinadinos ............................................................................ 8-23In re Six Grand Jury Witnesses ..................................................... 7-3In re Snoonian .......................................................................... 16-39In re Steinhardt Partners, L.P. ................................ 7-29, 15-23, 15-24In re Subpoenas Duces Tecum ................................7-27, 7-29, 15-24In re Subpoenas Served Upon the Law Firm of Snow,

Christensen & Martineau and the Canopy Grp. ................... 7-35In re Syncor ERISA Litig............................................................ 15-23In re Teleglobe Commc’ns Corp. ............................................... 16-18In re Three Grand Jury Subpoenas ............................................ 16-33In re Tronox Inc. ....................................................................... 15-39In re Uber FCRA Litig. .............................................................. 18-31In re Veeco Instruments, Inc. Sec. Litig. ............................. 7-19, 7-24In re Vioxx Prods. Liab. Litig. ......................................7-7, 7-10, 7-25In re Walters v. Deutsche Bank AG ........................................... 18-61In re Weatherford Int’l Sec. Litig. ................................... 15-21, 15-25In re WorldCom Sec. Litig. ........................................................ 15-30In re Zynga Privacy Litig. ............................................................ 18-5In the Matter of Dep’t of Enf ’t v. Kent M. Houston,

Carlsbad, CA ...................................................................... 12-14Infineon Techs. AG Sec. Litig., In re ............................................ 2-29Initial Pub. Offering Sec. Litig., In re .............................. 15-23, 16-58Int’l Design Concepts v. Saks .................................................... 17-10Ironridge Glob. IV, Ltd. v. SEC ..................................................... 9-45

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JJames v. Newspaper Agency Corp. ............................................ 18-11Janus Capital Grp. Inc. v. First Derivative Traders ...................... 2-34Jarkesy v. SEC .................................................................. 9-45, 15-31JDS Uniphase Corp. Sec. Litig., In re ............................... 7-16, 17-10Johnson v. SEC ............................................................................ 15-9Jones v. Home Fed. Bank ........................................................... 18-69Jones v. SouthPeak Interactive Corp. of Del. .................. 18-70, 18-73JPMorgan Chase & Co. v. Am. Century Cos., Inc. .................... 17-15J.P. Morgan Chase & Co. S’holder Litig., In re............................... 6-7

KKaiser Aluminum & Chem. Co., In re ........................................ 7-11Kalkunte v. DVI Fin. Serv., Inc. ................................................. 18-71Kastigar v. United States ................................8-16, 8-19, 8-20, 16-44Keeper of Records, In re ............................................................... 8-23Kelleher v. City of Reading ........................................................ 18-14Kellogg Brown & Root, Inc., In re ....................................... 6-18, 6-29King Pharm., Inc. Sec. Litig., In re ............................................ 17-14Kissinger v. Reporters Comm. for Freedom of Press .................... 16-29Klopfenstein v. PCC Flow Techs. Holdings, Inc. ............. 18-57, 18-58Knauz BMW .............................................................................. 18-19Koch v. SEC ................................................................................. 9-43Kokesh v. SEC ....................................................... 14-13, 15-9, 16-62Konop v. Hawaiian Airlines, Inc. .............................18-6, 18-7, 18-21Kuriakose v. Fed. Home Loan Mortg. Co. .................................. 15-30

LLaBranche Sec. Litig., In re ............................................. 15-29, 15-30LaCrosse v. Commodity Futures Trading Comm’n...................... 15-5Lampf v. Gilbertson ..................................................................... 15-8Landrum v. Harris Cty. Emergency Corps. ................................ 18-35Laney v. Getty ........................................................................... 18-28LaRocca v. LaRocca ...................................................................... 18-7Lawrence E. Jaffe Pension Plan v. Household Int’l .......... 15-24, 17-14Lawson v. FMR LLC ...................................................... 18-59, 18-60,

..................................................................... 18-63, 18-68, 18-69Lectrolarm Custom Sys. v. Pelco Sales, Inc. ................................ 6-28Lerbs v. Buca Di Beppo .............................................................. 18-66Lernout & Hauspie Sec. Litig., In re .......................................... 15-30


T–12

Leslie Fay Cos. Sec. Litig., In re .......................................... 7-24, 7-25Levin v. C.O.M.B. Co. ................................................................. 7-23Lewis v. Southwest Airlines Co. ................................................ 18-34LIBOR-Based Fin. Instruments Antitrust Litig., In re ................. 15-14LiButti v. United States ............................................................. 15-26Linde Thomson Langworthy Kohn &

Van Dyke, P.C. v. RTC ........................................................ 16-55Lipsky v. Commonwealth United Corp. .................................... 15-37Livingston v. Wyeth, Inc. ........................................................... 18-65Lockheed Martin Corp. v. Admin. Review Bd.,

U.S. Dep’t of Labor .................................................. 18-67, 18-68Loginovskaya v. Batratchenko ..................................................... 2-30Lucia v. SEC .............................................................................. 15-34

MMalin v. Siemens Med. Sols. Health Serv. ................................. 18-58Martin v. Consultants & Adm’rs ................................................... 8-7Martin Marietta Corp., In re ....................................5-19, 7-27, 7-28,

....................................................................... 7-29, 15-23, 15-24Marquez v. Bank of Am., Nat’l Ass’n ........................................ 18-34Materials Research Corp. .......................................................... 18-43Matrixx Initiatives, Inc. v. Siracusano .................................... 2-6, 3-6Mayor & City Council of Balt., Md. v. Citigroup, Inc. ................. 15-7McCloskey v. Ameriquest Mortg. Co......................................... 18-71McEwen v. Digitran Sys., Inc. ..................................................... 7-10McLaren v. Microsoft Corp. ...................................................... 18-15McNally v. United States ............................................................ 3-18McVane, In re .............................................................................. 9-28Medinol, Ltd. v. Bos. Sci. Corp. ............................ 17-7, 17-10, 17-11,

..................................................................... 17-13, 17-14, 17-17Meng-Lin Liu v. Siemens A.G. .................................................. 18-76Merrill Lynch & Co. v. Allegheny Energy, Inc. ................... 7-19, 17-8,

.................................................................................. 17-9, 17-16Meyers v. Quiz-DIA LLC ........................................................... 18-47MicroStrategy, Inc., In re ............................................................. 2-45Midwest Division-MMC, LLC v. N.L.R.B. ..................... 18-42, 18-43Midwest Motor Sports, Inc. v. Arctic Cat Sales, Inc. .................. 16-37Milbourne v. JRK Residential Am., LLC .................................... 18-35Miller v. Blattner ....................................................................... 18-14Milroy v. Hanson ........................................................................ 7-22Mintz v. Mark Bartelstein & Assocs. Inc. .................................... 18-6

T–13



Morrison v. Nat’l Austl. Bank Ltd. .................................... 2-28, 2-29, ......................................................................... 2-30, 2-31, 18-60

Mullen v. United States ............................................................. 16-39Multiquip, Inc. v. Water Mgmt. Sys. LLC .................................... 7-33Murphy Oil USA, Inc. v. N.L.R.B. ............................................. 18-44Murr v. Capital One Bank (USA) N.A. ...................................... 18-33

NNapue v. Illinois .......................................................................... 8-12Nat’l Sec. Letter, In re ................................................................. 8-27Nat’l Tank Co. v. Brotherton ..................................................... 16-43Nationwide Mut. Ins. Co. v. Darden ......................................... 18-63Nat. Gas Commodity Litig., In re ............................................. 15-24Neder v. United States ....................................................... 3-17, 3-19New Jersey v. RRI Energy Mid-Atl. Power Holdings, LLC .............. 2-37New Phoenix Sunrise Corp. v. C.I.R. ........................................ 17-13New York v. United States ............................................................. 1-8N.Y.C. Emps.’ Ret. Sys. v. Berry .................................................. 2-33Newton v. Merrill Lynch, Pierce, Fenner & Smith, Inc. ................... 2-7Nguyen v. Excel Corp. ................................................................. 7-19Nielsen v. AECOM Tech. Corp. ................................................ 18-68N.L.R.B. v. Pier Sixty, LLC ........................................................ 18-19NLRB v. Weingarten ............................................ 18-42, 18-43, 18-44Noel v. Hall ................................................................................. 18-7Nollner v. So. Baptist Convention, Inc. ..................................... 18-74Norex Petroleum Ltd. v. Access Indus., Inc. ................................ 2-28N. Am. Rescue Prods., Inc. v. Bound Tree Med., LLC .................. 7-33

OO’Connor v. Ortega ................................................................... 18-24Official Comm. of Unsecured Creditors of

WorldCom, Inc. v. SEC ......................................................... 2-37Ohio Pub. Emps. Ret. Sys. v. Fed. Home Loan Mortg. Corp. ....... 15-29O’Mahony v. Accenture, Ltd. .................................................... 18-61Opperman v. Path, Inc. ............................................................... 18-7Option Res. Grp. v. Chambers Dev. Co. .................................... 16-61Oracle Corp. Derivative Litig., In re .............................................. 6-7Orman v. Cullman ........................................................................ 6-7Oyoyo v. Baylor Health Network, Inc. ....................................... 18-10


T–14

PPac. Pictures Corp., In re ................................6-22, 7-21, 7-27, 15-23Par Pharm. Inc., Derivative Litig., In re .............................. 6-30, 7-24Paradigm Capital Mgmt., Inc. &

Candace King Weir, In re .................................................... 14-21Parkcentral Glob. Hub Ltd. v.

Porsche Auto. Holdings SE ................................................... 2-31Paulson v. Plainfield Trucking, Inc. ........................................... 16-37Payne v. Norwest Corp. ............................................................... 18-6Pearce v. E.F. Hutton Grp. ........................................................... 6-31People ex rel. Schneiderman v.

Credit Suisse Sec. (USA) LLC ............................................... 15-8Perlin, In re ............................................................................... 15-15Permian Corp. v. United States ............................................ 7-7, 7-26Peters v. Kiff .................................................................................. 8-6Pfizer, Inc. Sec. Litig., In re ........................................7-6, 17-9, 17-16Pharmatrak, Inc., In re ................................................................ 18-9Pierce v. SEC ............................................................................. 16-59Pietrylo v. Hillstone Rest. Grp. .................................................. 18-21Pik v. Credit Suisse AG, In re .................................................... 18-61Pillsbury Co. v. Conboy ............................................................. 15-27Pinkerton v. United States ........................................................... 3-15Piper v. Chris-Craft Indus., Inc. .................................................. 2-11Pittman v. Frazer ......................................................................... 7-19Platinum & Palladium Commodities Litig., In re ...................... 16-61Platone v. FLYi, Inc. ................................................................... 18-66Plumbers’ Union Local No. 12 Pension Fund v.

Swiss Reins. Co. ................................................................... 2-29Police & Fire Ret. Sys. of Detroit v. Safenet, Inc. ....................... 15-25Press v. Chem. Inv. Servs. Corp. .................................................... 2-7Prioleau v. Sikorksy Aircraft Corp. ............................................ 18-67Procaps S.A. v. Patheon Inc. ..................................................... 17-16Pugh v. Tribune Co. ..................................................................... 2-33Pyramid Controls, Inc. v. Siemens Indus. Automations, Inc. .......... 7-8

QQuail Cruises Ship Mgmt. Ltd. v.

Agencia de Viagens CVC TurLimitada .................................. 2-29Quon v. Arch Wireless Operating Co. ............................ 18-15, 18-16Qwest Commc’ns Int’l Inc. Sec. Litig., In re ............5-19, 7-21, 7-27,

..................................................................... 15-24, 15-25, 16-39

T–15



RR v. Rollins ................................................................................ 13-27Rad Servs. v. Aetna Cas. & Sur. Co ........................................... 15-26Radiant Burners, Inc. v. Am. Gas Ass’n ........................................ 7-5Randall v. Loftsgaarden .......................................................... 2-4, 2-6Raymond J. Lucia Cos., Inc. v. SEC ............................................. 9-45Reardon v. ClosetMaid Corp. ......................................... 18-33, 18-36Regions Fin. Corp. v. United States ........................................... 17-15Reserve Fund Sec. & Derivative Litig., In re .............................. 18-14Reyher v. Grant Thornton LLP .................................................. 18-60Rhinehimer v. U.S. Bancorp Invs., Inc. ..................................... 18-68Rhone-Poulenc Rorer Inc. v. Home Indem. Co. ........................... 7-19Richard Roe, Inc., In re ............................................................... 7-20Richman v. Goldman Sachs Grp. Inc. ....................................... 16-58Riordan v. SEC .......................................................................... 14-13RNR Enters., Inc. v. S.E.C. .......................................................... 9-28Robrinzine v. Big Lots Stores, Inc. ............................................. 18-35Rondeau v. Mosinee Paper Corp. ................................................. 2-11Rose v. Mitchell ............................................................................. 8-4Rough Rice Commodity Litig., In re .......................................... 16-61Royal Bank of Scot. Grp. PLC Sec. Litig., In re ............................ 2-28Ryan v. Gilford ............................................................................ 6-27

SSalman v. United States ..............................................2-22, 3-8, 3-11Samaritan Found. v. Goodfarb ................................................... 16-42Sanders v. Am. Broad. Cos. ....................................................... 18-25Sanders v. Robert Bosch Corp. ................................................... 18-10SandRidge Energy, Inc. S’holder Derivative Litig., In re ............... 7-18Santa Fe Indus. v. Green ........................................................ 3-4, 3-5Schmuck v. United States ........................................................... 3-19Seagate Tech., LLC, In re ............................................................. 7-21Sears, Roebuck & Co. ................................................................ 18-43SEC v. A Chi. Convention Ctr. LLC .......................................... 18-76SEC v. Albert Jackson Stanley ................................................... 13-21SEC v. Alexander ......................................................................... 15-8SEC v. Am. Bd. of Trade, Inc. ...................................................... 2-35SEC v. AremisSoft ..................................................................... 13-17SEC v. Bank of Am. Corp. ....................................... 7-28, 7-34, 16-61SEC v. Bankosky .......................................................................... 2-38SEC v. Berry .............................................................................. 17-11SEC v. Blackfoot Bituminous, Inc. ............................................... 9-28


T–16

SEC v. Bovorn Rungruangnavarat .............................................. 13-16SEC v. Brian Robert Sodi, Capital Financial Media,

LLC, and List Data Sols. LLC ............................................. 13-17SEC v. Brigadoon Scotch Distrib. Co. .......................................... 9-28SEC v. Caledonian Bank Ltd. .................................................... 15-39SEC v. Cavanagh ......................................................................... 2-37SEC v. Cioffi .............................................................................. 15-29SEC v. Citigroup Glob. Mkts. Inc. .................2-26, 2-27, 9-34, 15-36,

..........................................................15-37, 15-38, 15-39, 16-61SEC v. Clark .................................................................................. 2-8SEC v. Commonwealth Chem. Sec., Inc. ........................... 2-37, 15-8SEC v. Cont’l Tobacco Co. of S.C. ................................................. 2-4SEC v. Control Metals Corp. ..................................................... 15-28SEC v. CR Intrinsic Inv’rs, LLC ....................................... 2-26, 15-39SEC v. Craig .............................................................................. 18-18SEC v. Daifotis ............................................................................ 2-14SEC v. Dain Rauscher, Inc. ............................................................ 2-5SEC v. Delphi Corp. .................................................................... 9-40SEC v. DiBella ............................................................................. 15-8SEC v. Diversified Corp. Consulting Grp. ................................... 15-8SEC v. Doody ............................................................................ 15-11SEC v. Dresser Indus. ............................................ 15-5, 15-12, 15-27SEC v. E. Delta Res. Corp. ......................................................... 13-19SEC v. Fife ................................................................................... 2-35SEC v. First Jersey Sec., Inc. ........................................................ 2-37SEC v. Forster .............................................................................. 9-29SEC v. Francisco Abellán ................................................ 13-18, 13-19SEC v. Gemstar-TV Guide Int’l, Inc. .............................. 18-48, 18-49SEC v. Gentile ............................................................................. 15-9SEC v. Gilbert ........................................................................... 15-29SEC v. Glob. Techs. Corp. ........................................................... 2-39SEC v. Goldman Sachs & Co. ..................................................... 2-29SEC v. Graham.......................................................................... 14-13SEC v. Grossman ...................................................................... 15-28SEC v. Gupta ..............................................9-44, 15-25, 15-26, 15-32SEC v. Gupta & Rajaratnam ..................................................... 15-32SEC v. Halliburton Co. & KBR, Inc. .......................................... 13-20SEC v. Happ ................................................................................ 2-36SEC v. Hasho .............................................................................. 2-35SEC v. HealthSouth Corp. .............................................. 15-27, 18-49SEC v. Herrera ............................................................... 15-18, 17-12SEC v. Horowitz & Ullman P.C. ................................................ 15-15SEC v. Ira Zar ............................................................................ 16-27SEC v. Jerry T. O’Brien, Inc. .................................... 9-28, 16-9, 16-32

T–17



SEC v. Johnson ............................................................................ 2-35SEC v. Jones ................................................................................ 15-8SEC v. Kanodia et al. ................................................................. 15-29SEC v. Kornman ........................................................................ 15-11SEC v. Kurt J. Bordian ............................................................... 13-16SEC v. Leslie ................................................................................ 15-8SEC v. Levine .............................................................................. 2-37SEC v. Lydia Capital, LLC .............................................. 13-16, 13-17SEC v. Microtune, Inc. ................................................................ 6-29SEC v. Monarch Funding Corp. ................................................. 15-40SEC v. Mutuals.com ....................................................... 15-11, 15-28SEC v. Nacchio .......................................................................... 15-11SEC v. Namer .............................................................................. 2-37SEC v. Oakford Corp. .............................................. 15-7, 15-9, 15-27SEC v. One or More Unknown Purchasers of the Call

Options for the Common Stock of DRS Techs., Inc. & Am. Power Conversion Corp. ....................... 13-15, 13-16

SEC v. Palmisano ........................................................................ 15-5SEC v. Pardue .............................................................................. 2-35SEC v. Patel ........................................................................ 2-38, 2-39SEC v. Penn W. Petroleum Ltd. .................................................. 13-17SEC v. Pentagon Capital Mgmt. PLC ............................. 15-37, 16-61SEC v. Platforms Wireless Int’l Corp. .......................................... 3-13SEC v. Posner .............................................................................. 2-37SEC v. Rana Research, Inc. ............................................................ 2-8SEC v. Rind ................................................................................. 15-8SEC v. Roberts ......................................................... 6-27, 9-28, 17-11SEC v. Sandifur ......................................................................... 15-28SEC v. Sargent ............................................................................. 2-36SEC v. Savoy Indus., Inc. ............................................................. 2-35SEC v. Schiffer ............................................................................... 2-4SEC v. Schroeder ....................................................................... 17-11SEC v. Scott ................................................................................. 2-35SEC v. Sharef ............................................................................. 13-20SEC v. Siemens Aktiengesellschaft ................................. 13-19, 13-20SEC v. Snyder .............................................................................. 2-39SEC v. Spence & Green Chem. Co. ............................................. 2-35SEC v. State St. Bank & Tr. Co. ................................................. 10-19SEC v. Steven Woghin .................................................... 16-25, 16-27SEC v. Subaye, Inc. .................................................................... 15-39SEC v. Suterwalla ...................................................................... 13-15SEC v. Tambone .......................................................................... 3-13SEC v. Technip .......................................................................... 13-21SEC v. The Comm. on Ways and Means of

the House of Representatives ................................................ 9-29


T–18

SEC v. Unifund SAL .................................................................... 2-35SEC v. Vitesse Semiconductor Corp. ......................................... 15-18SEC v. Walters ........................................................................... 15-29SEC v. Westerfield ..................................................................... 15-39SEC v. Zandford ........................................................................ 15-39SEC Amicus Curiae Brief, McKesson Corp. v. McCall............... 15-24Seyler v. T-Systems N. Am., Inc. ................................................. 7-31SG Cowen Sec. Corp. v. U.S. Dist. Court for

the N. Dist. of Cal. ............................................................. 15-30Shefts v. Petrakis ......................................................................... 18-9Shell Oil Co. v. Par Four P’ship ................................................. 16-42Sherman v. Ryan ....................................................................... 17-15Shillitani v. United States.............................................................. 8-6Shionogi Pharm., Inc. v. Mylan Pharm., Inc. .............................. 7-31Shoots v. iQor Holdings US Inc. ................................................ 18-35Short Sale Antitrust Litig., In re .................................................. 15-7Shukh v. Seagate Tech., LLC ....................................................... 7-31Sidney I. v. Focused Retail Prop. I, LLC ....................................... 7-31Silverstein v. Fed. Bureau of Prisons ............................................ 7-30Simkins v. United States ............................................................. 8-20Sinadinos, In re ........................................................................... 8-23Six Grand Jury Witnesses, In re .................................................... 7-3Skilling v. United States .............................................................. 3-18Slaughter v. NLRB ..................................................................... 18-43Smith v. Waverly Partners, LLC ................................................. 18-35Smyth v. Pillsbury Co. ............................................................... 18-15Sneider v. Kimberly-Clark Corp. .................................................... 7-5Snoonian, In re ......................................................................... 16-39Spears v. First Am. eAppraiseIT ......................................... 7-19, 7-29Spokeo, Inc. v. Robins ............................................................... 18-34Stacy v. Dollar Tree Stores, Inc. ................................................ 18-34Starshinova v. Batratchenko ........................................................ 2-30State v. Bonnell ......................................................................... 18-25State v. Rachmani Corp. .............................................................. 5-39Steinhardt Partners, L.P., In re ............................... 7-29, 15-23, 15-24Stengart v. Loving Care Agency, Inc. ......................................... 18-17Steve Jackson Games, Inc. v. U.S. Secret Serv. ............................ 18-6Stevenson v. TRW Inc. .............................................................. 18-33Stoneridge Inv. Partners, LCC v. Scientific-Atlanta, Inc. ....... 2-32, 2-33Stopka v. All. of Am. Insurers ..................................................... 7-23Strougo v. BEA Assocs. ................................................................ 7-18Subpoenas Duces Tecum, In re ...............................7-27, 7-29, 15-24Subpoenas Served Upon the Law Firm of Snow,

Christensen & Martineau and the Canopy Grp., In re .......... 7-35

T–19



Swan v. SEC .............................................................................. 16-35Syed v. M-I LLC ............................................................. 18-33, 18-34Sylgab Steel & Wire Corp. v. Imoco-Gateway Corp. ...................... 7-22Sylvester v. Parexel Int’l LLC ............................... 18-66, 18-67, 18-68Syncor ERISA Litig., In re.......................................................... 15-23

TTalisse v. UBS AG ..................................................................... 18-61Taylor v. Singletary .................................................................... 16-44Teachers Ins. & Annuity Assoc. of Am. v.

Shamrock Broad. Co. ............................................................ 7-21Teleglobe Commc’ns Corp., In re .............................................. 16-18Tellabs, Inc. v. Makor Issues & Rights, Ltd. ........................... 2-6, 2-7Texas v. U.S. Steel ..................................................................... 16-34The Boeing Co. ................................................... 18-20, 18-21, 18-28Theofel v. Farey-Jones ................................................................. 18-6Thomas v. FTS USA, LLC ......................................................... 18-33Thompson v. Johnson Cty. Cmty. Coll...................................... 18-23Thorncreek Apartments III, LLC v. Village of Park Forest ........... 7-33Three Grand Jury Subpoenas, In re ........................................... 16-33Thunder Basin Coal Co. v. Reich .............................................. 15-33Thygeson v. U.S. Bancorp ......................................................... 18-14Tides v. The Boeing Co. ............................................................ 18-64Tilton v. SEC .................................................................... 9-45, 15-34Town & Country Supermarkets ................................................ 18-27Trailmobile Trailer, LLC ............................................................ 18-27Transamerica Mortg. Advisors, Inc. v. Lewis ............................... 2-15Triple Play Sports Bar & Grille v. N.L.R.B. ................................ 18-19Tronox Inc., In re ...................................................................... 15-39Trujillo v. City of Ontario .......................................................... 18-24TSC Indus., Inc. v. Northway, Inc. ......................................... 2-7, 3-6Tull v. United States .................................................................... 9-39

UUber FCRA Litig., In re ............................................................. 18-31Ulrich v. Moody’s Corp. ............................................................ 18-76United States, Ex parte................................................................ 8-13United States ex rel. Garbe v. Kmart Corp. ................................. 6-22United States v. Abrams .............................................................. 15-4United States v. Ackert .................................................................. 7-5


T–20

United States v. Adkinson ........................................................... 3-20United States v. Adlman ................................7-9, 7-10, 17-14, 17-17United States v. Aguilar...................................................... 3-23, 3-24United States v. Alewelt .............................................................. 8-22United States v. Alfred C. Toepfer Int’l ........................................ 14-6United States v. Allen .................................................................. 3-17United States v. Amrep Corp....................................................... 3-17United States v. Ashdown ............................................................. 3-6United States v. Avellino ........................................................... 16-45United States v. Baker Hughes Servs. Int’l, Inc................. 10-3, 10-42United States v. Balsiger ............................................................ 16-12United States v. Batchelder............................................................ 8-6United States v. Behrens ............................................................... 3-4United States v. Bell .................................................................... 8-19United States v. Benjamin ........................................................... 8-16United States v. Berger ................................................................ 3-12United States v. Biomet, Inc. ..................................................... 10-48United States v. Birdman .......................................................... 15-15United States v. Bloom .............................................................. 16-56United States v. Booker ...........................4-9, 4-10, 4-11, 4-22, 16-65United States v. Bradstreet .......................................................... 3-13United States v. Breslin ............................................................... 7-18United States v. Bright .............................................................. 16-33United States v. Bruce E. Karatz .................................................. 3-21United States v. Bryant................................................................ 3-17United States v. Butler .............................................................. 14-13United States v. Calandra ............................................................ 8-12United States v. Campbell ........................................................... 8-27United States v. Cappetto .......................................................... 16-43United States v. Carson ............................................................. 16-26United States v. Cassese ................................................................ 3-4United States v. Charnay .............................................................. 3-6United States v. Chen .................................................7-6, 7-20, 7-23United States v. Chestman ............................................................ 2-9United States v. ChevronTexaco Corp. ...................................... 17-17United States v. City of New York ............................................. 15-39United States v. Connolly ......................................................... 18-54United States v. Councilman ...................................................... 18-7United States v. David A. Stockman ........................................... 3-15United States v. David Blaszczak et al. ........................................ 3-26United States v. David Levy ........................................................ 3-15United States v. Deloitte LLP ......................................... 17-12, 17-13United States v. DiNapoli ........................................................... 8-11United States v. Dionisio .......................................................... 16-39United States v. Doe ......................................8-17, 8-18, 11-7, 16-33

T–21



United States v. Donovan............................................................ 3-14United States v. Doug Whitman ................................................. 3-15United States v. Dynavac, Inc. .................................................. 16-34United States v. Ebbers ......................................................... 3-6, 3-13United States v. Edelkind ............................................................ 3-20United States v. Erickson .............................................................. 8-9United States v. Ermoian ............................................................ 3-23United States v. Esquenazi ............................................... 14-9, 14-10United States v. Etkin ............................................................... 18-14United States v. Fanfan ............................................................... 4-10United States v. Farris ................................................................. 3-14United States v. Fermin Castillo ................................................. 3-19United States v. Fields .................................................... 15-10, 15-12United States v. Finazzo ............................................................ 18-14United States v. Fiore ................................................................ 15-12United States v. Flemmi .............................................................. 8-11United States v. Flomenhoft .......................................................... 8-6United States v. Frederick ............................................................ 18-9United States v. Friedman ......................................................... 18-11United States v. George David Gordon ........................................ 3-15United States v. Gillespie ............................................................ 8-25United States v. Godoy .................................................................. 8-5United States v. Grady .............................................................. 18-12United States v. Grasso ............................................................... 3-15United States v. Gross ................................................................. 3-22United States v. Gulf Oil Corp. ................................................... 7-10United States v. Gupta ...................................2-19, 2-21, 3-10, 15-32United States v. Hallmark Constr. Co. ...................................... 14-13United States v. Halper ............................................................... 15-5United States v. Hassoun .......................................................... 18-14United States v. Hatfield ............................................................. 17-8United States v. Higgins .............................................................. 3-24United States v. Hogan ................................................................ 8-12United States v. Horvath ........................................................... 16-24United States v. Hudson ............................................................. 6-22United States v. IBM ................................................................. 15-39United States v. ISS Marine Servs., Inc. ...................................... 7-13United States v. Jacobs ................................................................ 7-20United States v. Jeffrey K. Skilling & Richard A. Causey ............. 3-15United States v. Jinian ................................................................. 3-19United States v. John Doe, Inc. ................................................... 16-8United States v. John Raffle and David Applegate ......................... 3-7United States v. Jones........................................................... 7-4, 7-18United States v. Kaiser .................................................................. 3-4United States v. Kates ............................................................... 16-43


T–22

United States v. Kelly .................................................................. 3-24United States v. Kordel ........................................... 15-4, 15-5, 15-10,

..................................................................... 15-26, 15-27, 16-12United States v. Kovel ...................................................... 7-16, 16-55United States v. Koyomejian ..................................................... 18-24United States v. Kozeny ....................................... 14-12, 14-16, 14-17United States v. Lake ................................................................... 3-13United States v. Libby ................................................................. 3-25United States v. La. Generating, LLC ........................................ 14-13United States v. MacKey ........................................................... 16-30United States v. Mahaffy ........................................................... 15-35United States v. Mandujano ........................................................ 8-16United States v. Marion .............................................................. 8-12United States v. Martin ................................................................. 7-4United States v. Martoma .........................................2-23, 2-24, 2-25United States v. Mass. Inst. of Tech. .................................. 7-27, 7-30United States v. Matthews ........................................................ 16-40United States v. McAuliffe........................................................... 3-20United States v. Meriwether ........................................................ 18-6United States v. Merriam ............................................................ 15-5United States v. Metcalf & Eddy Int’l, Inc. ................................ 14-27United States v. Michael Stein .................................................... 3-21United States v. Mullins ............................................................ 18-12United States v. Murdock .......................................................... 18-10United States v. Newman ................................2-20, 2-21, 2-22, 2-23,

.........................................................2-24, 2-25, 2-26, 3-10, 3-11United States v. Nixon ................................................................ 7-11United States v. Nosal ............................................................... 17-11United States v. O’Hagan ..................................................... 3-8, 3-20United States v. Pabian .................................................................. 8-6United States v. Parrott ............................................................. 15-16United States v. Phillip Windom Offill, Jr. ................................... 3-15United States v. Pitt-Des Moines, Inc. ...................................... 16-55United States v. Powell ................................................................ 9-28United States v. Procter & Gamble Co. ....................................... 8-27United States v. Provenzano .......................................................... 8-5United States v. Quattrone .......................................................... 3-25United States v. R. Enters. ........................8-9, 8-11, 8-12, 8-22, 8-23United States v. Rabinowich........................................................ 3-16United States v. Rajaratnam ...............................2-18, 2-19, 3-7, 3-10United States v. Rand ..................................................... 15-10, 15-16United States v. Re ...................................................................... 3-14United States v. Reliant Energy Servs., Inc. ............................... 10-55United States v. Reyes ................................................................. 3-13United States v. Richard M. Scrushy .........................3-14, 3-21, 3-22

T–23



United States v. Rigas........................................................... 3-7, 3-20United States v. Riggs Bank, N.A. ............................................. 10-39United States v. Ring ................................................................... 6-19United States v. Rittweger ........................................................... 18-9United States v. Rogers .............................................................. 16-37United States v. Ronda .............................................................. 16-26United States v. Ropp .................................................................. 18-6United States v. Ruehle ............................................................... 6-19United States v. Russell ............................................................... 3-26United States v. Ryan ................................................................ 16-31United States v. Salman ..................................................... 2-22, 2-23United States v. Schaeffer ..................................................... 3-6, 3-14United States v. Scott .................................................................. 8-11United States v. Scrushy .............................3-22, 15-17, 16-12, 16-42United States v. Sells Eng’g, Inc. ...................................8-3, 8-8, 16-8United States v. Setser ............................................................... 15-17United States v. Sheneman ......................................................... 3-17United States v. Siemens Aktiengesellschaft .................. 13-19, 13-20United States v. Simmons ........................................................... 3-23United States v. Singleton ................................................ 6-19, 16-27United States v. Smallwood ....................................................... 16-37United States v. Smith ..................................................... 15-16, 18-7United States v. Snamprogetti Netherlands B.V. ........................ 14-13United States v. Star .................................................................... 8-11United States v. Steiger ............................................................... 18-6United States v. Stein .............................4-18, 4-19, 4-22, 4-23, 4-25,

.................................................7-36, 15-17, 16-48, 18-52, 16-54United States v. Steinberg ........................................................... 2-21United States v. Stewart .............................................................. 3-24United States v. Stockman ........................................................ 16-27United States v. Stringer ................................................ 15-10, 15-16,

..................................................................... 15-17, 16-12, 16-42United States v. Sullivan ............................................................. 8-26United States v. Sylvester Norman Knows His Gun, III .............. 16-66United States v. Szymuszkiewicz ................................................. 18-7United States v. Technip............................................................ 13-21United States v. Textron Inc. .......................................... 17-14, 17-16United States v. Teyibo .............................................................. 15-35United States v. Thomas ............................................................. 8-11United States v. Thompson ................................................ 8-6, 15-23United States v. Torres-Hernandez ................................................ 8-4United States v. Turk ................................................................... 18-6United States v. Turner ............................................................... 3-19United States v. Van Poyck .......................................................... 18-8United States v. Van Waeyenberghe ........................................... 16-64


T–24

United States v. Wade .................................................................. 8-16United States v. Wallach .............................................................. 3-16United States v. Washington ....................................................... 8-25United States v. Webb ............................................................... 16-39United States v. Weinstein ........................................................ 16-34United States v. Weiss ...................................................... 3-19, 16-31United States v. Wellcare Health Plans, Inc. ................................ 5-28United States v. Wells................................................................ 16-39United States v. White ......................................................... 7-5, 8-18United States v. Williams .................................8-9, 8-12, 8-13, 16-56United States v. Williams Cos., Inc. ............................................ 7-28United States v. Wolfson ............................................................. 3-13United States v. Woods................................................................ 8-11United States v. Yeaman .............................................................. 3-14United States ex rel. Barko v. Halliburton Co. .................... 7-11, 7-12United States ex rel. McCann v. Thompson ................................. 8-4Upjohn Co. v. United States .............................6-17, 6-18, 6-19, 7-4,

..............................................................7-6, 7-7, 7-9, 7-12, 7-13, ............................................. 7-14, 7-15, 7-16, 7-17, 7-18, 16-43

U.S. Postal Serv. v. Phelps Dodge Ref. Corp. .................................. 7-5

VVacold LLC & Immunotherapy v. Cerami ................................. 15-30Van Asdale v. Int’l Game Tech. ....................................... 18-65, 18-66Vardon Golf Co. v. BBMG Golf Ltd. .............................................. 7-9Veeco Instruments, Inc. Sec. Litig., In re ............................ 7-19, 7-24Vega-Rodriguez v. P.R. Tel. Co. .................................................. 18-24Velsicol Chem. Corp. v. Parsons .................................................. 7-23Villanueva v. Core, NV .............................................................. 18-62Villanueva v. U.S. Dep’t of Labor .............................................. 18-63Vioxx Prods. Liab. Litig., In re .............................................. 7-7, 7-25VLT Corp. v. Unitrode Corp. ......................................................... 7-3

WWalsh Sec. v. Cristo Prop. Mgmt., Ltd. ...................................... 15-28Walters v. Deutsche Bank AG, In re .......................................... 18-61Walton v. Nova Info. Sys. .......................................................... 18-70Warshak v. United States .......................................................... 16-32Watkins v. L.M. Berry & Co. ................................. 18-9, 18-10, 18-11Weatherford v. Bursey .................................................................. 7-18

T–25



Weatherford Int’l Sec. Litig., In re .................................. 15-21, 15-25Weil v. Inv./Indicators, Research & Mgmt., Inc. .......................... 7-23Welch v. Cardinal Bankshares Corp. ......................................... 18-71Welch v. Chao ........................................................................... 18-66Wesley Coll. v. Pitts ..................................................................... 18-6Westawski v. Merck & Co. ........................................................ 18-69Westernbank P.R. v. Kachkar ..................................................... 17-11Westinghouse Elec. Corp. v.

Republic of Philippines ......................................7-19, 7-21, 7-27, ............................................................7-29, 15-23, 15-24, 16-18

Whalen v. Roe ........................................................................... 16-39Whitaker Chalk Swindle & Sawyer, LLP v.

Dart Oil & Gas Corp. .................................................. 7-34, 7-35Wiest v. Lynch ................................................................ 18-65, 18-67Wiest v. Tyco Elecs. Corp. ......................................................... 18-67Williams v. District of Columbia ................................................. 7-33Williams v. United States ............................................................ 8-11Wilson v. United States ............................................................... 8-18Wood v. Dow Chem. Co. .......................................................... 18-66WorldCom Sec. Litig., In re ....................................................... 15-30Wright v. Lincoln Prop. Co. ....................................................... 18-36

XXYZ Corp. v. United States (In re Keeper of Records) .................. 8-23

YYates v. United States ................................................................ 16-25Yunker v. Pandora Media, Inc. ..................................................... 18-6

ZZiner v. Cedar Crest Coll. ........................................................... 7-25Zinn v. Am. Commercial Lines Inc. .......................................... 18-67Zynga Privacy Litig., In re ........................................................... 18-5


T–26

STATUTES

Statutes by NameAdministrative Procedures Act .................................................. 15-31Alternative Fines Act ................................................................. 14-15Attorney-Client Privilege Protection Act of 2008....................... 15-20Attorney-Client Privilege Protection Act of 2009....................... 15-20Bank of England Act 1998

§ 9C(1) ............................................................................... 13-26Bank Secrecy Act ...........................10-34, 10-35, 10-38, 10-45, 10-46Civil Asset Forfeiture Reform Act .............................................. 14-15Commodities Exchange Act (CEA) .............................................. 2-30Communications Assistance for Law Enforcement

Act (CALEA) (1994) .............................................................. 18-5Computer Fraud & Abuse Act ................................................... 18-30Consumer Financial Protection Act of 2010.............................. 18-56Coroners and Justice Act 2009

§ 113 ................................................................................. 13-23Criminal Justice Act 1993 ......................................................... 13-27Defend Trade Secrets Act (DTSA) ............................................. 18-77Dodd-Frank Wall Street Reform and Consumer Protection Act

generally ..................................................1-2, 1-3, 1-5, 2-2, 2-14, ..............................................2-28, 2-32, 2-33, 2-34, 2-41, ................................... 5-10, 6-9, 9-5, 9-6, 9-7, 9-42, 9-43, ................... 11-4, 11-9, 14-20, 15-3, 15-31, 16-49, 16-63, .............. 18-39, 18-56, 18-57, 18-72, 18-73, 18-74, 18-76

§ 922 ................................................................................... 2-14§ 929E .................................................................................. 9-40§ 929M ................................................................................. 2-32§ 929M–O ............................................................................ 2-14§ 929N ................................................................................. 2-32§ 929O ................................................................................. 2-32§ 929P ..........................................9-42, 9-43, 15-3, 16-63, 18-76§ 929P(a) ............................................................ 2-14, 2-41, 9-41§ 929P(a)(1) .......................................................................... 9-42§ 929P(b) .......................................................... 2-14, 2-28, 18-76§ 929P(b)(2) ........................................................................ 18-76§ 929U ............................................................................... 16-59§ 929Y .................................................................................. 2-31§ 929Z(a) .............................................................................. 2-33§ 965 ................................................................................... 11-4

T–27



Electronic Communications Privacy Act of 1986 (ECPA).............. 18-5, 18-6, 18-7, 18-8, 18-9, 18-10, ................................... 18-11, 18-12, 18-13, 18-23, 18-24, 18-30

Email Privacy Act ........................................................................ 18-6Employee Polygraph Protection Act (EPPA) .................... 18-28, 18-29Fair and Accurate Credit Transactions

Act of 2003 (FACTA) ............................................... 18-32, 18-33Fair Credit Reporting Act (FCRA) ............18-30, 18-31, 18-32, 18-33,

...............................................18-34, 18-35, 18-36, 18-37, 18-38§ 611(d) .............................................................................. 18-33

Federal Wiretap Act ................................................................... 18-24Financial Services Act 2012 .....................13-25, 13-26, 13-27, 13-34Financial Services and Markets Act 2000

generally ...................................................... 13-24, 13-25, 13-27, ................................................13-28, 13-29, 13-33, 13-36

§ 1B ......................................................................... 13-25, 13-28§ 2B–2D ............................................................................. 13-26§ 3B .................................................................................... 13-26§ 123 .................................................................................. 13-27§ 169 .................................................13-31, 13-32, 13-34, 13-35§ 348 .................................................................................. 13-36§ 354A ................................................................................ 13-31§ 397 ....................................................................... 13-27, 13-34§ 401 .................................................................................. 13-27§ 402 .................................................................................. 13-27

Financial Services Regulatory Relief Act of 2006 ....................... 15-20§ 607 .................................................................................. 15-20

FISA Amendments Act (2008) .................................................... 18-5Foreign Corrupt Practices Act (FCPA) ......................4-26, 4-27, 5-16,

..........................................................5-17, 5-22, 5-23, 6-26, 9-2, .......................................... 9-15, 9-16, 9-17, 9-18, 10-21, 10-22, .................................. 10-24, 10-25, 10-26, 10-41, 10-42, 10-43, .................................. 10-46, 10-47, 10-48, 10-49, 10-50, 10-51, ............................... 13-15, 13-19, 13-20, 14-2, 14-3, 14-4, 14-5, ............................... 14-6, 14-7, 14-8, 14-9, 14-10, 14-11, 14-12, ....................... 14-13, 14-14, 14-15, 14-16, 14-17, 14-18, 14-19, ....................... 14-20, 14-21, 14-22, 14-23, 14-24, 14-25, 14-26, ................................... 14-27, 14-28, 14-29, 14-30, 16-50, 18-74

Freedom of Information Act (FOIA) ............9-22, 11-11, 13-5, 15-13, ...............................................15-14, 16-34, 16-35, 16-36, 18-70

Gramm-Leach-Bliley Act ........................................................... 18-30Identity Theft and Assumption Deterrence Act of 1998 ........... 18-30Insider Trading and Securities Fraud Enforcement

Act of 1988 ......................................................... 2-16, 2-17, 15-8


T–28

Insider Trading Sanctions Act of 1984 ............................... 2-16, 2-17Investment Advisers Act of 1940

generally .................................................... 2-14, 215, 2-32, 2-36, .........................................9-42, 11-4, 16-31, 16-63, 18-18

§ 203(i)(1)(A) ........................................................................ 2-43§ 203(i)(1)(B) ........................................................................ 2-43§ 203(i)(1)(C) ........................................................................ 2-43§ 203(i)(1)(D) ........................................................................ 2-43§ 203(i)(3) ............................................................................. 2-43§ 203(k) .................................................................................. 9-7§ 204 .................................................................................... 11-4§ 206 .................................................................................... 2-15§ 209(e) ................................................................................ 2-36

Investment Company Act of 1940generally .....................................................2-3, 2-16, 2-32, 2-36,

....................................................9-42, 11-3, 16-31, 16-63§ 9(d)(1) ................................................................................ 2-43§ 9(d)(2) ................................................................................ 2-43§ 9(d)(3) ................................................................................ 2-43§ 31(a) ......................................................................... 11-3, 11-4§ 31(b) .................................................................................. 11-4§ 31(b)(3) .............................................................................. 11-4§ 31(c) .................................................................................. 11-4§ 32(c) .................................................................................. 11-4§ 42(e) .................................................................................. 2-36

Jencks Act .......................................................................... 8-8, 16-45Jumpstart Our Business Startups Act ................................. 9-3, 11-24Jury Selection and Service Act of 1968 .......................................... 8-4Labor Management Relations Act ............................................. 18-24National Labor Relations Act (NLRA)

generally ...........................................18-19, 18-20, 18-21, 18-23, ................................................18-27, 18-42, 18-43, 18-44

§ 7 ........................................................................... 18-20, 18-43Occupational Safety and

Health Administration (OSHA) ............................... 18-56, 18-57Omnibus Crime Control and Safe Streets Act of 1968 ................ 18-5Private Securities Litigation Reform Act of 1995 (PSLRA)

generally ........................................................... 2-32, 2-33, 15-30§ 104 .................................................................................... 2-32

Proceeds of Crime Act 2002 ...................................................... 13-27Racketeer Influenced and Corrupt Organizations

Act (RICO) ......................................................... 2-29, 4-7, 14-16Remedies Act of 1990 ...................................................... 2-40, 16-63

T–29



Sarbanes-Oxley Act of 2002 (SOX)generally ........................................ 1-2, 1-8, 1-10, 2-2, 2-3, 2-13,

............................. 2-17, 2-38, 2-39, 2-45, 2-46, 3-2, 3-16, ............................ 3-21, 3-23, 3-25, 4-4, 4-7, 5-4, 5-5, 5-7, ...................... 5-8, 5-40, 6-3, 6-6, 6-19, 6-24, 6-27, 16-27, ........................ 16-49, 16-53, 16-66, 18-39, 18-48, 18-50, ........................ 18-56, 18-57, 18-58, 18-59, 18-60, 18-61, ....................................18-62, 18-63, 18-64, 18-67, 18-68, ................................................18-69, 18-70, 18-71, 18-76

§ 3 .......................................................................................... 5-5§ 105 ...................................................................................... 5-8§ 204 ............................................................................. 2-13, 5-8§ 301 .................................................................... 5-5, 6-3, 18-77§ 302 ...................................................................................... 5-6§ 303 .................................................................................... 17-4§ 304 ............................................................................. 2-45, 5-7§ 306 .................................................................................... 2-13§ 307 ............................................................................... 5-8, 6-3§ 308(a) ................................................................................ 2-45§ 404 ............................................................................. 5-7, 6-25§ 802 .................................................................................... 6-11§ 804 ...................................................................................... 5-9§ 805(a)(5) .............................................................................. 4-5§ 806 ...............................................18-56, 18-60, 18-62, 18-64,

.....................................18-66, 18-67, 18-69, 18-70, 18-71§ 806(a) .............................................................................. 18-58§ 1103 ...............................................16-53, 18-48, 18-49, 18-50§ 1103(a) ............................................................................ 18-50§ 1105 .................................................................................. 2-41§ 1105(a)–(b) ........................................................................ 2-41§ 1107 .................................................................................. 5-10

Securities Act of 1933generally ............................... 1-9, 2-2, 2-3, 2-6, 2-32, 2-35, 2-41,

.............................. 3-2, 3-3, 5-5, 9-42, 13-34, 15-3, 16-63§ 3(a)(2) .................................................................................. 2-4§ 5 ..........................................................2-3, 3-2, 3-4, 3-13, 3-14§ 8A ............................................................................. 2-41, 14-8§ 8A(g)(2) ............................................................................ 16-63§ 11 ............................................................................... 2-4, 15-7§ 12 ..........................................................................2-3, 2-4, 2-5§ 12(a) .................................................................................. 15-7§ 12(a)(2) ................................................................................ 2-4§ 13(a) .................................................................................... 3-2§ 13(b) .................................................................................... 3-2


T–30

§ 17 ........................................................................................ 2-5§ 17(a) ............................... 2-5, 3-2, 3-4, 3-13, 3-14, 3-19, 10-23§ 17(a)(1) ....................................................................... 2-5, 2-38§ 17(a)(2) ................................................................................ 2-5§ 17(a)(3) ................................................................................ 2-5§ 20(b) .................................................................................. 2-35§ 20(d) ................................................................................ 16-64§ 20(e) ......................................................................... 2-38, 2-39§ 21(d)(1) .............................................................................. 2-36§ 24 ................................................................................. 3-3, 4-8

Securities Exchange Act of 1934 (Exchange Act)generally .......................................... 1-7, 1-9, 1-10, 2-2, 2-3, 2-6,

................................... 2-35, 2-41, 3-2, 3-3, 3-4, 3-6, 3-12, .................................... 3-22, 5-5, 5-39, 9-42, 11-3, 11-20, ......................................13-34, 15-3, 16-31, 16-59, 16-63, ................................................................................. 18-73

§ 3(a)(26) .............................................................................. 13-4§ 3(a)(47) .............................................................................. 13-4§ 3(a)(51) .............................................................................. 13-4§ 4C ..................................................................................... 2-27§ 9 ........................................................................................ 15-7§ 10(b) ............................................. 2-5, 2-6, 2-7, 2-8, 2-9, 2-12,

................................ 2-28, 2-31, 2-32, 2-33, 2-38, 3-2,3-4, ................................... 3-5, 3-6, 3-7, 3-9, 3-12, 3-13, 3-14, ................................... 3-19, 3-20, 3-21, 10-23, 15-7, 15-8

§ 10A ...................................................................... 5-5, 5-8, 17-5§ 10A(a) ................................................................................ 3-25§ 10A(b)(1)(A) ....................................................................... 17-6§ 10A(b)(1)(B) ....................................................................... 17-6§ 10A(b)(2) ........................................................................... 17-6§ 10A(b)(3) ........................................................................... 17-6§ 12 ..................................................2-10, 2-11, 2-41, 5-5, 18-57§ 12(k)(2) ............................................................................ 13-21§ 13 ......................................................2-9, 2-10, 2-41, 3-4, 3-12§ 13(a) .......................................................2-10, 3-11, 3-12, 3-13§ 13(b) .......................................................2-10, 2-11, 3-12, 3-13§ 13(b)(2) .............................................................................. 2-11§ 13(b)(2)–(7) ........................................................................ 2-10§ 13(b)(2)(A) ......................................................................... 3-12§ 13(b)(2)(B) .......................................................................... 3-12§ 13(d) ......................................................................... 2-11, 2-12§ 13(e) .................................................................................. 2-12§ 13(g) .................................................................................. 2-11§ 14 ............................................................................. 2-10, 2-41

T–31



§ 14(e) ........................................................................... 2-12, 3-8§ 15(b)(4)(E) .......................................................................... 2-42§ 15(b)(6) .............................................................................. 9-36§ 15(b)(8) .............................................................................. 12-2§ 15(b)(9) .............................................................................. 12-2§ 15(c)(4) ..................................................................... 2-41, 2-42§ 15(d) .......................................................2-11, 2-41, 5-5, 18-57§ 15A .................................................................................... 12-2§ 16(b) .................................................................................. 15-7§ 17 ........................................................................................ 4-7§ 17(a) .................................................................................. 11-3§ 17(b) .................................................................................. 11-3§ 18 ............................................................................. 2-12, 15-8§ 20(e) ................................................................ 2-32, 2-38, 2-39§ 21(a) ........................................................5-11, 6-4, 9-12, 10-5,

.....................................15-18, 15-23, 16-49, 18-18, 18-39§ 21(a)(2) .............................................................................. 13-4§ 21(d) ......................................................................... 2-32, 2-35§ 21(d)(1) .............................................................................. 2-36§ 21(d)(2) ............................................................ 2-38, 2-39, 9-36§ 21(d)(3) ........................................................ 2-32, 16-63, 16-63§ 21(d)(3)(A) ......................................................................... 2-36§ 21(d)(3)(B) .......................................................................... 9-36§ 21A .................................................................................... 2-16§ 21A(2) ............................................................................... 9-36§ 21A(a)(2) .......................................................................... 16-63§ 21A(b)(1)(A) ....................................................................... 9-19§ 21B(a)(1) ............................................................................ 2-43§ 21B(a)(2) ............................................................................ 2-43§ 21B(a)(3) ............................................................................ 2-43§ 21B(a)(4) ............................................................................ 2-43§ 21B(b) .............................................................................. 16-63§ 21B(c) ................................................................................ 2-43§ 21C ........................................................9-7, 9-16, 14-8, 18-77§ 21C(a)................................................................................ 2-41§ 21D(b)(3)(B) ..................................................................... 15-29§ 21F .................................................................................... 6-10§ 24(c) .................................................................................. 13-4§ 24(d) ......................................................................... 13-4, 13-5§ 28(e) ....................................................................... 11-9, 13-21§ 32(a) .............................................................3-3, 3-4, 3-12, 4-6

Securities Investor Protection Act ............................................... 15-4Serious Organized Crime and Police Act 2005 (SOCPA) ........... 13-23

§ 73 .................................................................................... 13-23


T–32

Stop Trading on Congressional Knowledge (STOCK) Act of 2012 ........................................................................... 2-17

Stored Communications Act ................................. 18-5, 18-15, 18-21Telephone Records and Privacy Protection Act of 2006 ............. 18-29Travel Act .................................................................................. 14-16Trust Indenture Act of 1939 ........................................................ 15-4Truth in Lending Act (TILA) .................................................... 18-33U.K. Anti-Bribery Act ....................................................... 14-3, 14-12Unif. Securities Act 2002

§ 508(a) ................................................................................ 15-6§ 509(b) ................................................................................ 15-6§ 603(a) ................................................................................ 15-6

USA PATRIOT Act (2001) .......................................................... 18-5Victim and Witness Protection Act of 1982................................. 3-24Walsh Act .................................................................................... 8-10Williams Act of 1968 ......................................................... 2-10, 2-12Wire Fraud Act .......................................................................... 18-30

Public Laws97-291 (Victim and Witness Protection Act of 1982) .................. 3-24107-204 (Sarbanes-Oxley Act of 2002 (SOX)).................3-2, 4-5, 5-5,

............................................................16-27, 17-4, 18-48, 18-71108-159 (Fair and Accurate Credit Transactions

Act of 2003) ........................................................................ 18-32109-351 (Financial Services Regulatory Relief

Act of 2006) ........................................................................ 15-20111-203 (Dodd-Frank Wall Street Reform and

Consumer Protection Act) .............................. 11-4, 14-20, 16-63

United States Code

TiTle 5

§ 552 ................................. 15-13§ 552(b)(1) ......................... 15-13§ 552(b)(2) ......................... 15-13§ 552(b)(3) ......................... 15-13§ 552(b)(4) ......................... 15-13§ 552(b)(5) ......................... 15-14§ 552(b)(6) ......................... 15-14§ 552(b)(7) ......................... 15-14§ 552(b)(8) ......................... 15-14§ 552(b)(9) ......................... 15-14

TiTle 12

§ 1785(j) ................... 7-28, 15-20§ 1828(x) .................. 7-28, 15-20§ 3409 ................................... 8-8§ 3413(i) ................................ 8-8§ 5301 et seq. ...................... 15-3

TiTle 15

§ 77d ................................... 3-13§ 77e ..................................... 3-2§ 77e(a) ............................... 3-13

T–33



§ 77e(c) ............................... 3-13§ 77g(a) ................................. 2-5§ 77h-1................................ 2-40§ 77h-1(c)(1) ........................ 2-40§ 77h-1(f) ............................ 2-41§ 77h-1(g) ............................ 9-42§ 77h-1(g)(2) ...................... 16-63§ 77l ...................................... 2-3§ 77m ........................... 2-4, 15-7§ 77q ..................................... 3-2§ 77q(a) ............................... 3-14§ 77t........................... 2-35, 2-44§ 77t(b)..................... 15-3, 15-12§ 77t(d) ............................. 16-64§ 77t(d)(1) ........................... 2-36§ 77t(d)(2) ........................... 2-44§ 77t(e) ................................ 2-38§ 77x ............3-3, 3-13, 4-6, 15-3§ 77yyy ................................ 15-4§ 78a et seq. ........................ 11-3§ 78a-21F(a) ...................... 18-75§ 78a-21F(a)(3) .................. 18-75§ 78a-21F(b) ...................... 18-75§ 78a-21F(h)(1)(A) ............. 18-72§ 78a-21F(h)(1)(B)(i) .......... 18-73§ 78a-21F(h)(1)(B)(iii) ........ 18-73§ 78bbb ............................... 15-4§ 78c(a)(10) ........................... 3-6§ 78c(a)(13) ........................... 3-6§ 78c(a)(14) ........................... 3-6§ 78c(a)(34) ........................... 2-8§ 78d-5 .................................. 9-5§ 78dd-1 ....................... 3-3, 14-4§ 78dd-1 et seq. ................... 14-2§ 78dd-1(a) .......................... 14-5§ 78dd-1(a)(3) .................... 14-17§ 78dd-1(b) ........................ 14-11§ 78dd-1(c)(1) .................... 14-12§ 78dd-1(c)(2)(A) ............... 14-12§ 78dd-1(f)(1)(A) .................. 14-7§ 78dd-1(f)(2) ......... 14-16, 14-18§ 78dd-1(f)(3)(A) ................ 14-11§ 78dd-1(f)(3)(B) ................ 14-11§ 78dd-1(g) .......................... 14-5§ 78dd-2 ..................... 14-4, 14-5

§ 78dd-2(a)(3) .................... 14-17§ 78dd-2(b) ........................ 14-11§ 78dd-2(c)(1) .................... 14-12§ 78dd-2(c)(2)(A) ............... 14-12§ 78dd-2(g)(1) .................... 14-15§ 78dd-2(g)(3) .................... 14-15§ 78dd-2(h)(2) ................... 14-18§ 78dd-2(h)(2)(A) ................. 14-7§ 78dd-2(h)(4)(A) ............... 14-11§ 78dd-2(h)(4)(B) ............... 14-11§ 78dd-2(i) ........................... 14-6§ 78dd-3 .............................. 14-4§ 78dd-3(a) .......................... 14-6§ 78dd-3(a)(3) .................... 14-17§ 78dd-3(b) ........................ 14-11§ 78dd-3(c)(1) .................... 14-12§ 78dd-3(c)(2)(A) ............... 14-12§ 78dd-3(e)(1) .................... 14-15§ 78dd-3(e)(2) .................... 14-15§ 78dd-3(f)(2)(A) .................. 14-7§ 78dd-3(f)(3) .................... 14-17§ 78dd-3(f)(4)(A) ................ 14-11§ 78dd-3(f)(4)(B) ................ 14-11§ 78f(m)(4) ........................ 18-77§ 78ff .....................2-31, 3-3, 3-4§ 78ff(a) .............4-6, 14-15, 15-3§ 78ff(c)(1) ......................... 14-15§ 78ff(c)(2) ......................... 14-15§ 78ff(c)(3) ......................... 14-15§ 78i(e) ................................ 15-7§ 78j ...................................... 2-6§ 78j-1 .................2-13, 5-5, 17-5§ 78j-1(a) ............................. 3-25§ 78j-1(b) ....................... 3-2, 3-4,

......................3-6, 6-3, 6-24§ 78j-1(b)(1) ........................ 17-5§ 78j-1(b)(1)(B) .................... 17-6§ 78j-1(b)(2) ........................ 17-6§ 78j-1(b)(2)–(4) ................... 6-24§ 78j-1(b)(3) .......................... 5-6§ 78j-1(b)(3)–(4) ................... 17-6§ 78j-1(f) ............................. 17-5§ 78j-1(m)(4) ......................... 6-3§ 78j-1(m)(5)–(6) ................... 5-6§ 78l .................................... 14-5


T–34

§ 78m .................................... 2-9§ 78m(a) ....................... 3-2, 3-11§ 78m(a)–(c) .......................... 2-9§ 78m(b) ..............3-2, 3-11, 14-4§ 78m(b)(1) ......................... 2-11§ 78m(b)(2) ......................... 14-5§ 78m(b)(2)(A) ..................... 14-4§ 78m(b)(2)(B) ..................... 14-5§ 78n(e) ........................ 2-13, 3-8§ 78o(b)(4)(E) ....................... 2-42§ 78o(c)(4) ........................... 2-41§ 78o(d) ...............2-11, 3-3, 14-5§ 78o-4(c)(4) ........................ 15-3§ 78o-4(c)(6) ........................ 15-3§ 78o-6(a) .......................... 18-64§ 78p(b) ............................... 15-8§ 78r(c) ................................ 15-7§ 78t(e) ....................... 2-31, 2-32§ 78t-1(b)(4) ........................ 15-8§ 78u(a)(1) ........................... 15-3§ 78u(c) ............................... 9-28§ 78u(d) ............................... 2-35§ 78u(d)(1)................ 15-3, 15-12§ 78u(d)(2).......2-38, 15-3, 16-65§ 78u(d)(3).....2-44, 16-63, 16-64§ 78u(d)(3)(A) ...................... 2-36§ 78u-1(a)(1)........................ 15-3§ 78u-1(a)(2)...................... 16-63§ 78u-2(a) ............................ 15-3§ 78u-2(a)(1)........................ 2-43§ 78u-2(a)(2)........................ 2-43§ 78u-2(a)(3)........................ 2-43§ 78u-2(a)(4)........................ 2-43§ 78u-2(b) .......................... 16-63§ 78u-2(c) ............................ 2-43§ 78u-2(e) ............................ 15-3§ 78u-3 ................................ 2-40§ 78u-3(a) ............................ 15-3§ 78u-3(c)(1) ........................ 2-40§ 78u-3(c)(3) ...................... 16-53§ 78u-3(c)(3)(A)(i) .............. 18-48§ 78u-3(c)(3)(A)(ii) ............. 18-50§ 78u-3(c)(3)(A)(iii) ............ 18-50§ 78u-3(c)(3)(A)(iv) ............ 18-50§ 78u-3(c)(3)(B) ................. 18-50

§ 78u-3(f) ............................ 2-41§ 78u-4(b)(1) ..................... 15-29§ 78u-4(b)(3)(B) ................. 15-30§ 78u-6(h)(1)(A) ................ 18-73§ 78u-6(h)(1)(C) ................ 18-73§ 78w .................................... 2-8§ 78y(a)(1) ................ 2-41, 15-31§ 80a-1 et seq. ..................... 11-3§ 80a-9(b)(4)(A) ................... 2-43§ 80a-9(d)(1)(A) ................... 2-43§ 80a-9(d)(1)(B) ................... 2-43§ 80a-9(d)(3) ........................ 2-43§ 80a-9(f) ............................. 2-40§ 80a-9(f)(3)(a) ..................... 2-40§ 80a-41(e)(1) ...................... 2-36§ 80a-41(e)(2) ...................... 2-44§ 80b-1 et seq. ..................... 11-4§ 80b-2(a)(11) ...................... 2-15§ 80b-3(i)(1)(A) .................... 2-43§ 80b-3(i)(1)(B) .................... 2-43§ 80b-3(i)(1)(C) .................... 2-43§ 80b-3(i)(1)(D) ................... 2-43§ 80b-3(i)(3) ........................ 2-43§ 80b-3(k) ............................ 2-40§ 80b-3(k)(3)(a) .................... 2-40§ 80b-6 ................................ 2-15§ 80b-9(e)(1) ........................ 2-36§ 80b-9(e)(2) ........................ 2-44§ 1519 ................................. 3-25§ 1520 ................................. 3-25§ 1681 et seq. ......... 18-30, 18-31§ 1681a(d)(1) ..................... 18-32§ 1681a(e) ......................... 18-32§ 1681a(y)(1)(B) ................. 18-32§ 1681b(b)(1) ..................... 18-37§ 1681b(b)(2)(A) ................ 18-33§ 1681b(b)(3) ..................... 18-36§ 1681b(b)(3)(A) ................ 18-36§ 1681b(b)(3)(B)................. 18-36§ 1681d(b) ......................... 18-35§ 1681h(e) ......................... 18-32§ 1681m(a) ........................ 18-37§ 1681n ............................. 18-37§ 1681o ............................. 18-37§ 1681p ............................. 18-37

T–35



§ 1681q ............................. 18-37§ 1681s ............................. 18-37§ 6801–21 ......................... 18-30§ 7201 et seq. ............. 5-5, 16-27§ 7202 ................................... 5-5§ 7211(e)(6) ........................... 5-8§ 7215 ................................... 5-8§ 7217(d)(3) ........................... 5-8§ 7241 ................................... 5-6§ 7241(a)(5)(B) .................... 6-24§ 7242(a) ............................. 17-4§ 7243 ................................. 2-45§ 7244 ................................. 2-13§ 7245 ............................ 5-8, 6-3§ 7262 ................................... 5-7

TiTle 18

§ 2 ............................... 3-3, 4-7§ 20 .................................... 3-20§ 371 ..........3-2, 3-15, 4-7, 14-12§ 401 .......................... 8-9, 16-31§ 641 ................................... 3-26§ 1001 ....................... 3-12, 3-22,

....................4-7, 6-4, 16-24§ 1028 ............................... 18-30§ 1030 ............................... 18-30§ 1039 ............................... 18-29§ 1039(a)–(c) ..................... 18-29§ 1039(h) ........................... 18-29§ 1341 ..........3-2, 3-16, 3-20, 4-7§ 1343 ......................... 3-2, 3-16,

..................3-20, 4-7, 18-30§ 1344 ......3-2, 3-16, 3-20, 16-66§ 1346 ........................ 3-18, 3-19§ 1348 ................3-2, 3-16, 3-21,

.........3-22, 4-7, 15-4, 16-65§ 1349 ................................... 4-7§ 1350 ........3-2, 3-16, 3-21, 3-22§ 1350(a) .................... 3-21, 3-22§ 1350(b) .................... 3-21, 3-22§ 1350(c) .................... 3-22, 6-24§ 1503 ......................... 3-2, 3-23,

....................3-24, 3-25, 4-7§ 1505 ........3-2, 3-23, 3-24, 3-25§ 1506 ............................... 16-25

§ 1507 ............................... 16-25§ 1510 ................................. 15-4§ 1512 ................3-2, 3-23, 3-24,

.......3-25, 4-7, 16-25, 16-26§ 1512(b) ................. 3-24, 16-25,

....................... 16-25, 16-26§ 1512(b)(1) ....................... 16-26§ 1512(b)(2)(7)(A) ................ 3-24§ 1512(b)(2)(7)(B) ................ 3-24§ 1512(b)(3) ....................... 16-26§ 1512(c) ................ 16-25, 16-26§ 1512(c)(2) ......................... 6-19§ 1512(f) ............................ 16-26§ 1513 ...................... 5-10, 16-25§ 1513(e) ................ 18-57, 18-71§ 1514A .................... 5-9, 18-58,

...........18-59, 18-60, 18-65, ............18-66, 18-68, 18-69

§ 1514A(a) ............ 18-57, 18-59, ....................... 18-66, 18-71

§ 1514A(a)(1) ......... 18-64, 18-65§ 1514A(a)(1)(A) ................ 18-64§ 1514A(a)(1)(B) ................ 18-64§ 1514A(a)(1)(C) ............... 18-64§ 1514A(a)(1)–(2) .............. 18-56§ 1514A(a)(2) .................... 18-64§ 1514A(b) ........................ 18-56§ 1514A(b)(2)(B) ................ 18-71§ 1514A(c) ........................ 18-57,

....................... 18-70, 18-71§ 1514(A)(c)(1) .................. 18-69§ 1514(A)(c)(2) .................. 18-69§ 1515(c) ........................... 16-25§ 1516 ............................... 16-25§ 1519 ................3-2, 3-23, 3-25,

.......4-7, 6-11, 16-25, 16-26§ 1520 ......................... 3-2, 3-23,

................3-25, 3-26, 16-25§ 1621 ........................ 6-4, 16-24§ 1622 ................................... 6-4§ 1623 ............................... 16-24§ 1623(d) ............................. 8-27§ 1951–60 ........................... 15-4§ 1952 et seq. .................... 14-16§ 1955 ................................. 8-26


T–36

§ 1956 ................................... 4-7§ 1961–1968 ......................... 4-7§ 1962 et seq. .................... 14-16§ 1975 ................................... 4-7§ 2510 et seq. .................... 18-23§ 2510–22 ........................... 18-5§ 2510–2712 ..................... 18-30§ 2510(2) ............................. 18-7§ 2510(4) ............................. 18-5§ 2510(5)(a) ....................... 18-10§ 2510(17) ........................... 18-7§ 2511(1) ............................. 18-5§ 2511(2)(a)(i) .................... 18-12§ 2511(2)(d) ......................... 18-8§ 2511(4) ............................. 18-8§ 2515 ................................. 8-12§ 2520(a) ............................. 18-7§ 2520(c) ............................. 18-8§ 2701–12 ........................... 18-5§ 2701(a) .................. 18-7, 18-12§ 2701(c)(1) ....................... 18-12§ 2711 ................................. 18-7§ 3121–27 ........................... 18-5§ 3161(b) ........................... 16-56§ 3282 ............................... 14-12§ 3282(a) ............................. 15-9§ 3292 ............................... 14-13§ 3331 ................................... 8-6§ 3500 ...................... 6-21, 16-45§ 3500(b) ............................... 8-8§ 3553(f) .............................. 8-16§ 3571 ................................. 18-8§ 3571(b) ........................... 14-15

§ 3571(b)(3) ....................... 16-66§ 3571(d) ........................... 16-66§ 3663(a)(1)(A) .................. 16-66§ 3663(a)(1)(B)(II) .............. 16-66§ 6002 ....................... 8-19, 8-20,

....................... 16-43, 16-44§ 6003 ...........8-17, 16-42, 16-43§ 6003(b) ............................. 8-19

TiTle 28

§ 542 ..................................... 8-4§ 547 ..................................... 8-4§ 1783 ................................. 8-10§ 1826 ...................... 8-20, 16-31§ 1861 ............................ 8-4, 8-5§ 1863(b)(2) ........................... 8-4§ 1865(b) ............................... 8-5§ 2462 ............2-36, 2-37, 14-13,

................15-8, 15-9, 16-62

TiTle 29

§ 151 et seq. ...................... 18-42§ 152(3) ............................. 18-42§ 157 ................................. 18-20§ 2001 et seq. .................... 18-28§ 2002 ............................... 18-28§ 2006 ............................... 18-28§ 2006(d) ........................... 18-28§ 2008 ............................... 18-28§ 2009 ............................... 18-29

TiTle 42

§ 3711–3797 ....................... 18-5

State Codes

ArizonaAriz. Rev. Stat.

§ 44-1376 ........................................................................... 18-30

ArkansasArk. Code Ann.

§ 11-2-124 .......................................................................... 18-22

T–37



CaliforniaCal. Civ. Code

§ 1786.2 ............................................................................. 18-38Cal. Const. art. 1, § 1 ................................................................ 18-13Cal. Corp. Code

§ 317(b) .............................................................................. 18-47§ 317(d) .............................................................................. 18-46

Cal. Lab. Code§ 980 .................................................................................. 18-22§ 2802 ................................................................................ 18-47

Cal. Penal Code§ 638 .................................................................................. 18-30

ColoradoColo. Rev. Stat.

§ 8-2-127 ............................................................................ 18-22§ 18-13-125 ........................................................................ 18-30

ConnecticutConn. Gen. Stat.

§ 16-247u ........................................................................... 18-30§ 31-40x ............................................................................. 18-22§ 31-48D ............................................................................ 18-13§ 31-51q ............................................................................. 18-13

DelawareDel. Code Ann. tit. 8

§ 145(a) .............................................................................. 18-46§ 145(c) .............................................................................. 18-46§ 145(e) .............................................................................. 18-48

Del. Code Ann. tit. 19§ 705 .................................................................................. 18-13§ 709A ................................................................................ 18-22

FloridaFla. Stat.

§ 817.484 ........................................................................... 18-30

GeorgiaGa. Code

§ 46-5-230 et seq. ............................................................... 18-30

Guam22 Guam Code Ann. § 3501 ..................................................... 18-22


T–38

Illinois5 ILCS §§ 430/1-1–430/99-99 ............................................ 18-70720 Ill. Comp. Stat. 5/16-30 ............................................... 18-30

LouisianaLa. Rev. Stat. Ann.

§§ 51.1951–51.1955 ........................................................... 18-22

Maine26 Me. Rev. Stat.

§§ 616–619 ......................................................................... 18-22Me. Rev. Stat. Ann. tit. 10

§ 1496-C ............................................................................ 18-30

MarylandMd. Code Ann., Crim. Law

§ 7-304 ............................................................................... 18-30Md. Code Ann., Lab. & Empl.

§ 3-712 ............................................................................... 18-22

MassachusettsMass. Gen. Laws ch. 266

§ 37E(b) .............................................................................. 18-30

MichiganMich. Comp. Laws

§§ 37.271–37.278 ............................................................... 18-22§ 445.65a ........................................................................... 18-30

MontanaMont. Code Ann.

§ 39-2-307 .......................................................................... 18-22§ 45-6-332 .......................................................................... 18-30

NebraskaNeb. Rev. Stat. Ann.

§§ 48-3501–3511 ............................................................... 18-22

NevadaNev. Rev. Stat.

§ 613.135 ........................................................................... 18-22

New HampshireN.H. Rev. Stat. Ann.

§§ 275.71–275.75 ............................................................... 18-22

T–39



New JerseyN.J. Stat. Ann.

§ 34:6B-5–10 ...................................................................... 18-22

New MexicoN.M. Stat. Ann.

§ 50-4-34 ............................................................................ 18-22

New YorkN.Y. Bus. Corp. Law

§ 721 ................................................................................. 18-47§ 722 ................................................................................. 18-47§ 723(a) .............................................................................. 18-47§ 723(c) .............................................................................. 18-47§ 724(c) .............................................................................. 18-47§ 725(a) .............................................................................. 18-47

N.Y. Gen. Bus. Law§ 352(1) ................................................................................ 5-39§ 352(4) ................................................................................ 5-39§ 352-c(c)4 ............................................................................ 5-39§ 352-c(c)5–6 ........................................................................ 5-39§ 399-dd ............................................................................. 18-30art. 23A ................................................................................ 5-39

N.Y. Martin Act .................................................5-3, 15-8, 5-39, 5-40N.Y. Penal Law

§ 20.20 ................................................................................. 5-39

North CarolinaN.C. Gen. Stat. Ann.

§ 14-113.31 ........................................................................ 18-30

North DakotaN.D. Cent. Code

§ 12.1-23-11 ....................................................................... 18-30

Oklahoma40 Okla. Stat. Ann.

§ 173.2 ............................................................................... 18-22Okla. Stat. tit. 21

§§ 1742.1–1742.4 ............................................................... 18-30

OregonOr. Rev. Stat.

§ 659A.330 ......................................................................... 18-22


T–40

Rhode IslandR.I. Gen. Laws

§§ 28-56-1–28-56-6 ............................................................ 18-22§ 39-2-24 ............................................................................ 18-30

TennesseeTenn. Code Ann.

§ 48-18-506 ........................................................................ 18-48§§ 50-1-1001–50-1-1004 .................................................... 18-22

TexasTex. Bus. Org. Code tit. 1

§ 8.001 et seq. .................................................................... 18-46§ 8.051 ............................................................................... 18-46§ 8.052 ............................................................................... 18-48§ 8.052(c) ........................................................................... 18-48§ 8.101(a)(1) ....................................................................... 18-47§ 8.104 ............................................................................... 18-48

Tex. Penal Code Ann.§ 32.51 ............................................................................... 18-30

UtahUtah Code Ann.

§ 34-48-201 ........................................................................ 18-22

Vermont21 Vt. Stat. Ann.

§ 495 .................................................................................. 18-22

VirginiaVa. Code Ann.

§ 18.2-152.17 ..................................................................... 18-30§ 40.1-28.7:5 ...................................................................... 18-22

WashingtonWash. Rev. Code

§ 9.26A.140 ........................................................................ 18-30§ 49.44.200 ........................................................................ 18-22

West VirginiaW. Va. Code

§ 21-5G-1 ........................................................................... 18-22

T–41



WisconsinWis. Stat.

§ 100.525 ........................................................................... 18-30§ 995.55 ............................................................................. 18-22

CODE OF FEDERAL REGULATIONS

TiTle 16

§ 680.3 .............................. 18-33

TiTle 17

§ 200.30-4(a)(13) ................. 16-6§ 200.83 ........9-22, 15-13, 16-36§ 200.83(d) ........................ 15-13§ 201 .......................... 9-40, 9-46§ 201.100 et seq. ................ 9-41§ 201.102(e) ........................ 9-37§ 201.222 .......................... 15-11§ 201.230–.234 ................. 15-11§ 202.5 .............................. 15-35§ 202.5(a) ............... 15-12, 15-15§ 202.5(b) .......................... 15-13§ 202.5(c) ................... 9-31, 9-32§ 202.5(f) ............................. 15-4§ 202.12 .............................. 10-8§ 203.2 ................................ 9-22§ 203.6 .............................. 16-46§ 203.7(a) ............................ 9-11§ 203.7(c) ............................ 9-26§ 203.7(e) ............................ 9-21§ 205.3(b) .......................... 16-28§ 205.3(b)(1) .......................... 5-8§ 205.3(b)(2) .......................... 5-9§ 205.3(b)(3) .......................... 5-9§ 205.3(b)(4) .......................... 5-9§ 205.3(c)(1) .......................... 5-9§ 229.103 ............................ 6-23

§ 229.303 ............................ 6-23§ 229.401(f) ......................... 6-23§ 240.10b-5 ................... 2-8, 3-2,

......................3-5, 3-6, 15-7§ 240.12b-20 ......................... 2-5§ 240.12b-25(a) ................... 17-4§ 240.13a-1 et seq. .............. 2-10§ 240.14e-3(a) ....................... 3-8§ 240.21F-2(a)(1) ............... 18-72§ 240.21F-2(b) ................... 18-74§ 240.21F-2(b)(iii) ............. 18-74§ 240.21F-3 ....................... 18-75§ 240.21F-4(a)(1) ............... 18-75§ 240.21F-4(a)(3) ............... 18-75§ 240.21F-4(b)(7) ................. 6-10§ 240.24c-1 ......................... 13-4§ 243.100–.103 ................... 9-18pt. 205.3(d) ........................... 6-4pt. 229 ................................ 6-23pt. 240 .............................. 14-20pt. 249 .............................. 14-20

TiTle 28

§ 80 et seq. ........................ 14-14

TiTle 29

§ 801.12(b) ........................ 18-28§ 1980.101 ........................ 18-56§ 1985.103 ........................ 18-57§ 1985.104 ........................ 18-57


T–42

SEC MATERIALS

Securities Act Releases

4008 (Jan. 27, 2015) In re Michael S. Steinberg ......................... 2-215310 (1972) ................................................................................ 9-339009 (Mar. 3, 2009), Adjustments to Civil Monetary

Penalty Amounts .................................................................. 2-449192 (Mar. 1, 2011), Rajat K. Gupta ........................................... 9-4373,294 (Oct. 3, 2014), Order Instituting Public

Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions ....................................... 2-27

Exchange Act Releases07-143 (July 25, 2007), SEC Charges Former KLA-Tencor

CEO with Fraud for Improper Stock Options Backdating; Commission Also Settles Claims Against KLA-Tencor ............................................... 10-18

2010-252 (Dec. 20, 2010), SEC Charges Former Carter’s Executive with Fraud and Insider Trading ........................... 10-20

44,969 (Oct. 23, 2001), Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on the Relationship of Cooperation to Agency Enforcement Decisions ...........................................5-11, 5-12, 5-13, 5-15, 6-4, ............................................. 6-5, 6-6, 6-8, 6-9, 6-10, 6-30, 9-12, ..................................................10-5, 10-6, 10-11, 15-18, 15-19, ..................................................................... 16-49, 18-39, 18-53

44,970 (Oct. 23, 2001), In re Gisela de Leon-Meredith ............... 9-1245,730 (Apr. 11, 2002), SEC v. Xerox Corp. .............................. 15-1950,978 (Jan. 6, 2005), In re Monsanto Co. ................................ 15-1953,049 (Jan. 4, 2006), In re Applix, Inc. ...................................... 10-754,165 (July 24, 2006), Commission Guidance Regarding

Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 ................................... 13-21

58,592 (Sept. 18, 2008), Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments ........................................................ 13-21

59,449 (Mar. 3, 2009), Adjustments to Civil Monetary Penalty Amounts .................................................................. 2-44

T–43



62,690 ......................................................................................... 16-663,995 (Mar. 1, 2011), Rajat K. Gupta ........................................ 9-4372,393 (June 16, 2014), In re Paradigm Capital

Management, Inc., Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order ................................ 9-7

73,174 (Sept. 22, 2014), In re the Claim for Award in connection with Order Determining Whistleblower Award Claim .......................................................................... 9-7

73,294 (Oct. 3, 2014), Order Instituting Public Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions ........................................ 2-27

74,356 (Feb. 24, 2015), In re Goodyear Tire & Rubber Co., Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order ............................................... 9-15, 9-16

74,619 (Apr. 1, 2015), In re KBR, Inc., Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order ..................... 9-7, 18-76

78,025 (June 9, 2016), In re the Claim for Award in connection with [Redacted], Order Determining Whistleblower Award Claim ................................................... 9-7

78,319 (Sept. 27, 2016), Amendments to the Commission’s Rules of Practice .......................................................... 9-40, 9-46

78,528 (Aug. 10, 2016), In re BlueLinx Holdings Inc., Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 ......................................................................... 18-77

Exchange Act Rules10A-3(b)(2) ............................ 6-610A-3(b)(3) ............................ 6-610A-3(b)(4) ............................ 6-610A-3(b)(5) ............................ 6-610A-3(c) ................................ 6-610b-5...............2-4, 2-7, 2-8, 2-9,

..........2-16, 2-17, 2-28, 3-2,

.........3-4, 3-5, 3-6, 3-7, 3-9, ........3-12, 3-13, 3-14, 3-19, ..........3-20, 3-21, 3-26, 4-7, ..................6-23, 15-7, 15-8

12b-20.......................... 2-5, 6-2314a-9 ..................................... 2-714e-3 ................................... 2-13


T–44

14e-3(a) ................................. 3-815b9-1................................. 12-215b9-2................................. 12-215c3-5 ............................... 11-24

21F-17 .............................. 18-7721F-17(a) ........................... 18-7724c-1 ................................... 13-4

Litigation Releases17,588 (June 27, 2002), SEC Charges WorldCom

with $3.8 Billion Fraud ............................................ 16-54, 18-4917,594 (June 28, 2002) ............................................................. 18-4919,259 (June 9, 2005) ............................................................... 13-1719,517 (Jan. 3, 2006), SEC Charges Six Former Officers

of Putnam Fiduciary Trust Company with Defrauding Clients of $4 Million .......................................................... 10-16

19,520 (Jan. 4, 2006), SEC v. McAfee, Inc. ................................. 10-619,560 (Feb. 9, 2006), SEC Charges AIG

with Securities Fraud .......................................................... 10-1720,212 (July 26, 2007), SEC v. Cardinal Health, Inc. .................. 10-320,585 (May 19, 2008).............................................................. 13-1720,654 (July 25, 2008) .............................................................. 13-1620,718 (Sept. 15, 2008), SEC v. Taher Suterwalla...................... 13-1520,829 (Dec. 15, 2008), SEC v. Siemens Aktiengesellschaft ...... 13-2020,889 (Feb. 9, 2009), SEC v. Bernard L. Madoff ......................... 11-420,897A (Feb. 11, 2009), SEC v. Halliburton Co. and KBR ....... 13-2021,395 (Jan. 26, 2010), SEC v. E. Delta Res. Corp. ................... 13-1921,700 (Oct. 19, 2010), SEC v. E. Delta Res. Corp. ................... 13-1922,140 (Oct. 26, 2011), SEC Files Insider Trading Charges

Against Rajat Gupta, Brings New Charges Against Raj Rajaratnam ..................................................................... 2-41

22,190 (Dec. 13, 2011), SEC v. Sharef ...................................... 13-2022,298 (Mar. 19, 2012), SEC Credits Former AXA

Rosenberg Executive for Substantial Cooperation during Investigation.......................................... 9-14, 9-15, 16-52

table of authorities · t–5 table of authorities (securities investigations, rel. 8, 10/18) dirks...

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