table of authorities...table of authorities cases (includes nlrb cases) a aaron v. sec .....2-5, 2-6...

Table of Authorities

CASES

(Includes NLRB cases)

AAaron v. SEC ..........................................................................2-5, 2-6Absolute Activist Value Master Fund Ltd. v. Ficeto ............2-27, 2-28Abu Dhabi Commercial Bank v.

Morgan Stanley & Co. Inc. ................................................ 17-10Adams v. City of Battle Creek ................................................... 18-10Adams v. United States ............................................................... 7-30Aetna Cas. & Sur. Co. v. State Farm Mut. Auto. Ins. Co. ........ 16-54Alcon Mfg., Ltd. v. Apotex Inc. ................................................... 7-33Allen, In re .................................................................................. 7-17Allen v. Admin. Review Bd. ....................................................... 18-60Allied Stores Corp., In re ........................................................... 16-58Altman v. SEC ................................................................15-28, 15-31Am. Mut. Ins. Co. v. W.C. Bradley Co. ..................................... 16-42Am. S.S. Owners Mut. Prot. & Indem.

Ass’n v. Alcoa S.S. Co. ........................................................ 17-13Amgen Inc. v. Conn. Ret. Plans & Tr. Funds ................................ 2-7Anchortank, Inc. v. NLRB ......................................................... 18-38Anthony v. Northwestern Mut. Life Ins. Co. .................18-54, 18-55Antonucci, Ex parte ................................................................... 15-26Appalachian Power Co. ............................................................. 18-38Arbitration Between Peter Jay Goldman, Claimant v.

UBS Bank USA & UBS Fin. Servs, Inc., In re .................... 18-51Arias v. Mut. Cent. Alarm Serv., Inc. .......................................... 18-9Arjent LLC v. SEC ..................................................................... 15-31Arthur Andersen LLP v. United States ........................................ 3-24Asadi v. G.E. Energy (USA), LLC .............................................. 18-70Astra Aktiebolag v. Andrx Pharm., Inc. ......................................... 7-3Aventa Learning, Inc. v. K12, Inc. ............................................. 18-16

T–1(Securities Investigations, Rel. #7, 8/17)

Avila v. NOW Health Grp., Inc. ................................................ 18-31Avila v. Valentin-Maldonado ...................................................... 18-23

BBackhaut v. Apple, Inc. ................................................................ 18-8Baker v. GMC .............................................................................. 7-15Bandimere v. SEC .............................................................9-45, 15-32Bank Brussels Lambert v. Credit Lyonnais (Suisse) S.A. ......7-3, 7-18Barker v. UBS AG ...................................................................... 18-62Barnhill v. Boilermakers Nat’l Health & Welfare Fund ............... 7-33Basic, Inc. v. Levinson ................................................................... 2-7Baton Rouge Water Works Co. .................................................. 18-38Baxter v. Palmigiano .........................................................11-7, 15-24Beacom v. Oracle Am., Inc. ....................................................... 18-62Bear Republic Brewing Co. v. Cent. City Brewing Co. .......7-19, 7-30Bebo v. SEC ................................................................................. 9-44Becker v. Cmty. Health Sys. Inc. ............................................... 18-64Bellis v. United States .......................................................8-18, 16-32Bennett Silvershein Assocs. v. Furman .......................................... 7-4Berman v. Neo-Ogilvy LLC ....................................................... 18-70Bernhard v. City of Ontario ....................................................... 18-22Berry v. Funk ............................................................................... 18-9Beverly v. Wal-Mart Stores, Inc. ................................................. 18-32Billings v. Atkinson ..................................................................... 18-9Binks Mfg. Co. v. Nat’l Presto Indus., Inc. ...........................7-9, 7-10Biondi v. Scrushy ........................................................................... 6-7Bio-Rad Labs, Inc. v. Pharmacia, Inc. ............................................ 7-9Bd. of Trs., Sheet Metal Workers’ Nat’l Pension Fund v.

Palladium Equity Partners, LLC ............................................ 7-30Bogatin v. Fed. Ins. Co. ............................................................. 16-54Borninski v. Williamson .............................................................. 18-9Braswell v. United States ........................................ 8-18, 11-7, 16-33Brazinski v. Amoco Petroleum Additives Co. ............................ 18-23Briggs v. Am. Air Filter Co. ....................................................... 18-10Burton v. R.J. Reynolds Tobacco Co. ......................................7-5, 7-6

CCady, Roberts & Co., In re ............................................................ 2-9Callahan v. United States ............................................................ 3-15Campbell v. Facebook .......................................................18-8, 18-10Canada v. Aspen Tech. .............................................................. 15-27

SECURITIES INVESTIGATIONS

T–2

Cantu v. TitleMax, Inc. ............................................................. 17-15Cardinal Health, Inc. Sec. Litig., In re ...................................... 16-39Caremark, Inc. v. Affiliated Comput. Servs., Inc. ....7-8, 7-9, 7-10, 7-15Carnero v. Bos. Sci. Corp. ......................................................... 18-56Carpenter v. United States .............................. 3-16, 3-18, 3-19, 3-20Carter v. Cornell Univ. .................................................................. 7-5Carter v. County of Los Angeles ................................................ 18-23Castaneda v. Partida ...................................................................... 8-4Cavallaro v. United States ................................................7-16, 17-16Cedeno v. Intech Grp., Inc. ......................................................... 2-26Cent. Bank of Denver, N.A. v.

First Interstate Bank of Denver, N.A. ................................... 2-29Cerro Gordo Charity v.

Fireman’s Fund Am. Life Ins. Co. ...................................... 15-24Charles v. Profit Inv. Mgmt. ...........................................18-53, 18-54Chau v. SEC ....................................................... 15-30, 15-31, 15-32Chiarella v. United States .................................... 2-9, 2-12, 2-13, 3-7Chick-fil-A v. ExxonMobil Corp. ........................................7-29, 7-30Chrysler Motors Corp. Overnight Evaluation

Program Litig., In re ...................................... 5-19, 15-22, 15-23Cintas Corp. v. N.L.R.B. ............................................................ 18-40Citibank, N.A. v. Hakim ........................................................... 15-26City of Ontario, Cal. v. Quon ................................................... 18-14Cleantech Innovations, Inc. v. NASDAQ Stock Mkt., LLC ...... 15-31Coachmen Indus. Inc. v. Kemlite .................................................. 7-9Cobb Mech. Contractors, Inc. ................................................... 18-25Cole v. U.S. Capital, Inc. ........................................................... 18-30Coleman v. Sterling ..................................................................... 7-30Columbia Data Prods., Inc. v. Autonomy Corp. Ltd. ................ 17-16Columbia/HCA Healthcare Corp.

Billing Prac. Litig., In re ......................................5-19, 7-26, 7-28,.........................................................................15-21, 15-22, 15-23

Commodity Futures Trading Comm’n v. Weintraub ..........7-21, 7-22Cmty. Bank v. Progressive Cas. Ins. Co. ............................7-33, 7-34Concone v. Capital One Fin. Corp. ........................................... 18-56Conn. Humane Soc’y & Int’l Assoc. of Machinists &

Aerospace Workers, AFL-CIO ............................................. 18-19Consolidation Coal Co. v. Bucyrus-Erie Co. ............................. 16-42Consumer Fin. Prot. Bureau v. Sprint Corp. ............................. 15-37Conte v. Newsday, Inc. ................................................................ 18-6Cont’l Cas. Co. v. St. Paul Surplus Lines Ins. Co. ...................... 6-28Coordinated Pretrial Proceedings, In re ....................................... 7-17Cornwell v. Credit Suisse Grp. .................................................... 2-26Cory v. Allstate Ins. ................................................................... 18-51Costco Wholesale Corp. .................................................18-18, 18-19



Costello v. United States ....................................................8-11, 8-12Cottillion v. United Ref. Co. ..................................................... 17-15County of Erie, In re ..................................................................... 7-6Court-Appointed Receiver Mgmt. Grp. LLC v. Lauer ................ 15-26Cowles v. State .......................................................................... 18-23Cox v. Adm’r U.S. Steel & Carnegie ........................................... 7-18Cramer v. Consol. Freightways, Inc. ......................................... 18-22Crededio, In re ............................................................................ 8-20Credit Suisse First Bos. v. Billing ................................................. 15-6Crispin v. Christian Audigier, Inc. ............................................. 18-20Crist v. Alpine Union Sch. Dist. ............................................... 18-24Crowley v. CyberSource Corp. ..................................................... 18-6Crowley v. Watson ..................................................................... 18-64Cruz v. Coach Stores, Inc. ........................................................... 7-13Curcio v. United States ........................................ 11-7, 15-24, 16-39

DDaimler AG v. Bauman ............................................................. 18-56Davis v. United States ............................................................... 16-36Davis-Lynch, Inc. v. Moreno ..................................................... 16-41Day v. Staples, Inc. .................................................................... 18-60Dayco Corp. Derivative Sec. Litig., In re ............................7-19, 7-24Deal 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 .................................................... 12-14Deremer v. Gulfmark Offshore, Inc. .......................................... 18-58DeVittorio v. Hall ...................................................................... 18-23Dirks v. SEC ............................................................... 2-22, 2-23, 3-8Diversified Indus. v. Meredith ..............5-19, 7-21, 7-25, 7-26, 15-21Doe v. United States .........................................................8-18, 16-39Dometic Sales Corp. v. Intertherm, Inc. ....................................... 7-6Douglas Oil Co. of Cal. v. Petrol Stops Nw. .......................8-9, 15-13Dowling v. Am. Haw. Cruises, Inc. ........................................... 16-38D.R. Horton, Inc., In re ............................................................ 18-40D.R. Horton, Inc. v. N.L.R.B. .................................................... 18-40Duka v. SEC ................................................................................ 9-44Dura Pharm., Inc. v. Broudo ......................................................... 2-7Duren v. Missouri ......................................................................... 8-4


T–4

EEde v. Swatch Grp. .................................................................... 18-56Eden Isle Marina, Inc. v. United States ....................................... 7-30EEOC v. Brown & Root, Inc. ............................................9-39, 18-19Egan v. TradingScreen, Inc. .............................................18-69, 18-70Ehling v. Monmouth-Ocean Hosp. Serv. Corp. ......................... 18-20Elliott Assocs. v. Porsche Automobil Holding SE ........................ 2-26Emich Motors Corp. v. Gen. Motors Corp. ............................... 15-37Enron Corp. Sec., Derivative & ERISA Litig., In re ....................... 6-8Envtl. Tectonics v. W.S. Kirkpatrick Inc. .................................... 14-16Epilepsy Found. of Ne. Ohio ..................................................... 18-39Epps v. St. Mary ’s Hosp. ........................................................... 18-10Erica P. John Fund, Inc. v. Halliburton Co. ................................... 2-8Ernst & Ernst v. Hochfelder .......................................................... 2-6Estes v. United States .................................................................... 8-5Ex parte Antonucci .................................................................... 15-26Ex parte United States ................................................................. 8-13Experience Hendrix, LLC v. Chalpin ......................................... 16-40Exxon Mobil v. Allapattah ..................................................2-15, 2-16

FFaro Techs., Inc., In re ............................................................... 14-38FDIC v. Fiduciary & Deposit Co. .............................................. 15-24Fed. Energy Regulatory Comm’n v. Barclays Bank PLC .............. 2-34Feeney v. SEC ............................................................................ 16-36Feldman v. Law Enf ’t Assocs. Corp. .......................................... 18-62Felman Prod., Inc. v. Indus. Risk Insurers .................................. 7-32First F.S.B. of Hegewisch v. United States ................................. 17-15First 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 .................................................... 18-54Frank v. Mangum ...................................................................... 15-37Fraser v. Fiduciary Tr. Co. .......................................................... 18-62Fraser v. Nationwide Mut. Ins. Co. ..................................18-6, 18-11Free 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 .....................13-31, 13-32F.T.C. v. TRW, Inc. ....................................................................... 7-11



GGabelli v. SEC .............................................................................. 2-34Gallagher v. Granada Entm’t USA ............................................ 18-65Garrity v. John Hancock Mut. Life Ins. Co. .............................. 18-14Gebardi v. United States ............................................................ 14-52Gellis v. Casey ........................................................................... 15-24Gilman v. Marsh & McLennan Cos., Inc. ......................18-35, 18-50Genentech v. U.S. Int’l Trade Comm’n ..................................... 15-21Gen. Die Casters, Inc. ............................................................... 18-38Gen. Motors Class H S’holders’ Litig., In re ................................. 6-7Getman v. Sw. Sec., Inc. ............................................................ 18-65Gibney v. Evolution Mktg. Research, LLC .......... 18-55, 18-58, 18-63Gilbert v. California ................................................................... 16-39Golden Trade, S.r.L. v. Lee Apparel Co. ......................................... 7-3Google Inc. Gmail Litig., In re .........................................18-8, 18-10Gordon Brent Pierce, In re ........................................................ 16-58Gottlieb v. Wiles .......................................................................... 7-12Graham v. Allis-Chalmers Mfg. Co. ............................................ 6-30Grand Jury, In re ......................................8-7, 8-9, 8-27, 15-9, 16-44Grand Jury, John Doe, In re ........................................................ 8-23Grand Jury Investigation, In re ................................................. 16-38Grand Jury Investigation (Schroeder), In re ................................. 7-20Grand Jury Matter (Catania), In re ........................................... 16-34Grand Jury Proceedings, In re ................................... 7-8, 7-10, 7-21,

............................................................. 7-22, 16-34, 16-38, 16-43Grand Jury Proceedings (Schofield I), In re ................................ 16-31Grand Jury Proceedings (Schofield II), In re .............................. 16-31Grand Jury Proceedings v. John Doe, In re .................................. 7-22Grand Jury Subpoena, In re ........................................ 8-8, 8-11, 8-12Grand Jury Subpoena (Mr. S.), In re ............................................ 8-23Grand Jury Subpoena Dated July 6, 2005, In re ........................... 7-7Grand 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 ................................. 7-19Gray Fin. Grp., Inc. v. SEC ......................................................... 9-44Green Grand Jury Proceedings, In re .......................... 7-7, 7-15, 8-11Griffin v. City of Milwaukee ........................................................ 18-9Griggs-Ryan v. Smith ................................................................... 18-9Groshek v. Great Lakes Higher Educ. Corp. .............................. 18-31Groshek v. Time Warner Cable, Inc. ......................................... 18-31Grossfeld v. Commodity Futures Trading Comm’n .................... 15-5Gruss v. Zwirn ..................................................... 6-22, 15-19, 15-22


T–6

Guardsmark, LLC v. N.L.R.B. .................................................. 18-40Gucci Am., Inc. v. Guess?, Inc. ..................................................... 7-3Gulf State Mfg., Inc. v. NLRB ................................................... 18-38Gupta v. SEC .................................................. 2-39, 9-42, 9-43, 15-4,

........................................................... 15-23, 15-28, 15-29, 15-31

HHagman v. Wash. Mut. Bank, Inc. ............................................ 18-65Haigh v. Constr. Indus. &

Laborers Joint Pension Tr. for S. Nev. ................................. 17-15Haines v. Liggett Grp., Inc. ..................................................7-3, 7-17Hale v. Henkel ............................................................................. 8-18Halliburton v. Admin. Review Bd. ............................................. 18-65Halloum v. Intel Corp. .............................................................. 18-60Hanna v. WCI Cmtys., Inc. ....................................................... 18-65Harkness v. C-Bass Diamond, LLC ........................................... 18-60Harp v. Charter Commc’ns, Inc. ............................................... 18-60Harper & Row Publishers, Inc. v. Decker .................................... 7-21Hay v. Burns Cascade Co. ......................................................... 18-10Helvering v. Mitchell ................................................................... 15-5Hemphill v. Celanese Corp. ...........................................18-62, 18-65Heriot v. Byrne ............................................................................ 7-32Hernandez v. Hillsides, Inc. ...........................................18-24, 18-25Hernly v. United States ........................................................8-8, 8-27Hickman v. Taylor ......................................................................... 7-8Hill v. SEC ..........................................................................9-44, 9-45Hispanics United of Buffalo, Inc. .............................................. 18-38Hohenwater v. Roberts Pharm. Corp. .......................................... 7-18Hollinger Int’l Inc. v. Hollinger Inc. ......................... 7-10, 7-24, 7-25Holmes v. Petrovich Dev. Co. .................................................... 18-16Homestore, Inc. v. Tafeen .......................................................... 18-44Hondo Nat’l Bank v. Gill Sav. Ass’n ........................................... 2-15Honeywell Int’l Sec. Litig., In re ................................................ 17-15Horowitz, In re .............................................................................. 7-5Houston Am. Energy Corp. Sec. Litig., In re ............................. 16-57Hudson v. United States ...................................................15-5, 16-63Hurtado v. California ..................................................................... 8-4

IIBM Corp. ......................................................................18-39, 18-40Imperial Corp. of Am., In re ..................................................... 16-54



Impounded, 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. ............................ 18-51In re Cady, Roberts & Co. ............................................................. 2-9In re Cardinal Health, Inc. Sec. Litig. ....................................... 16-39In re Chrysler Motors Corp. Overnight

Evaluation Program Litig. .............................. 5-19, 15-22, 15-23In re Columbia/HCA Healthcare Corp.

Billing Prac. Litig. ............ 5-19, 7-26, 7-28, 15-21, 15-22, 15-23In re Coordinated Pretrial Proceedings ........................................ 7-17In re County of Erie ...................................................................... 7-6In re Crededio ............................................................................. 8-20In re Dayco Corp. Derivative Sec. Litig. .............................7-19, 7-24In re D.R. Horton, Inc. ............................................................. 18-40In re Enron Corp. Sec., Derivative & ERISA Litig. ........................ 6-8In re Faro Techs., Inc. ................................................................ 14-38In re Gen. Motors Class H S’holders’ Litig. .................................. 6-7In re Google Inc. Gmail Litig. ..........................................18-8, 18-10In re Gordon Brent Pierce ......................................................... 16-58In re Grand Jury .......................................8-7, 8-9, 8-27, 15-9, 16-44In re Grand Jury, John Doe ......................................................... 8-23In re Grand Jury Investigation .................................................. 16-38In re Grand Jury Investigation (Schroeder) .................................. 7-20In re Grand Jury Matter (Catania) ............................................ 16-34In re Grand Jury Proceedings .................................... 7-8, 7-10, 7-21,

............................................................. 7-22, 16-34, 16-38, 16-43In re Grand Jury Proceedings (Schofield I) ................................. 16-31In re Grand Jury Proceedings (Schofield II) ............................... 16-31In re Grand Jury Proceedings v. John Doe ................................... 7-22In re Grand Jury Subpoena ......................................... 8-8, 8-11, 8-12In re Grand Jury Subpoena (Mr. S.) ............................................. 8-23In re Grand Jury Subpoena Dated July 6, 2005 ............................ 7-7In 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 .................................. 7-19In re Green Grand Jury Proceedings ........................... 7-7, 7-15, 8-11In re Honeywell Int’l Sec. Litig. ................................................. 17-15In re Horowitz ............................................................................... 7-5In re Houston Am. Energy Corp. Sec. Litig. .............................. 16-57In re Imperial Corp. of Am. ...................................................... 16-54


T–8

In re Impounded .......................................................................... 8-23In re Infineon Techs. AG Sec. Litig. ............................................ 2-26In re Initial Pub. Offering Sec. Litig. ..............................15-21, 16-57In 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. ............................................. 17-13In re LaBranche Sec. Litig. ..............................................15-27, 15-28In re Lernout & Hauspie Sec. Litig. .......................................... 15-28In re Leslie Fay Cos. Sec. Litig. ................................................... 7-24In re LIBOR-Based Fin. Instruments

Antitrust Litig. .........................................................15-12, 15-13In re Martin Marietta Corp. .......................... 5-19, 7-27, 7-28, 15-21In re McVane ............................................................................... 9-27In re MicroStrategy, Inc. .............................................................. 2-42In re Nat’l Sec. Letter .................................................................. 8-27In re Nat. Gas Commodity Litig. .............................................. 15-22In re Oracle Corp. Derivative Litig. ............................................... 6-7In re Pac. Pictures Corp. ................................ 6-22, 7-20, 7-26, 15-21In re Par Pharm. Inc., Derivative Litig. ..............................6-30, 7-23In re Paradigm Capital Mgmt., Inc.

& Candace King Weir ......................................................... 14-22In re Perlin ................................................................................ 15-13In re Pfizer, Inc. Sec. Litig. ........................................7-6, 17-9, 17-15In re Pharmatrak, Inc. ................................................................. 18-8In re Pik v. Credit Suisse AG .................................................... 18-56In re Platinum & Palladium Commodities Litig. ...................... 16-60In re Qwest Commc’ns Int’l, Inc. ............................5-19, 7-20, 7-26,

............................................................. 7-27, 15-22, 15-23, 16-38In re Reserve Fund Sec. & Derivative Litig. ............................... 18-14In re Richard Roe, Inc. .......................................................7-19, 7-20In re Rough Rice Commodity Litig. .......................................... 16-60In re Royal Bank of Scot. Grp. PLC Sec. Litig. ............................ 2-26In re SandRidge Energy, Inc. S’holder Derivative Litig. ............... 7-18In re Schnitzer Steel Indus., Inc. ............................................... 14-43In re Seagate Tech., LLC .............................................................. 7-20In re Short Sale Antitrust Litig. ................................................... 15-6In re Sinadinos ............................................................................ 8-23In re Six Grand Jury Witnesses ..................................................... 7-3In re Snoonian ........................................................................... 16-38In re Steinhardt Partners, L.P. ................................7-28, 15-21, 15-22In re Subpoenas Duces Tecum ................................7-27, 7-28, 15-22In re Subpoenas Served Upon the Law Firm of Snow,

Christensen & Martineau and the Canopy Grp. .................. 7-34



In re Syncor ERISA Litig. .......................................................... 15-21In re Teleglobe Commc’ns Corp. ............................................... 16-18In re Three Grand Jury Subpoenas ............................................ 16-33In re Tronox Inc. ....................................................................... 15-37In re Veeco Instruments, Inc. Sec. Litig. ............................7-19, 7-24In re Vioxx Prods. Liab. Litig. ..................................... 7-7, 7-10, 7-24In re Walters v. Deutsche Bank AG ........................................... 18-56In re Weatherford Int’l Sec. Litig. ...................................15-19, 15-22In re WorldCom Sec. Litig. .............................................15-27, 15-28In 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 ........................................... 2-26Initial Pub. Offering Sec. Litig., In re .............................15-21, 16-57Int’l Design Concepts v. Saks .................................................... 17-10Ironridge Glob. IV, Ltd. v. SEC .................................................... 9-44

JJames v. Newspaper Agency Corp. ............................................ 18-10Janus Capital Grp. Inc. v. First Derivative Traders ...................... 2-32Jarkesy v. SEC ...................................................................9-44, 15-28JDS Uniphase Corp. Sec. Litig., In re ...............................7-10, 17-16Johnson v. SEC ............................................................................ 15-7Johnson v. Siemens Bldg. Techs., Inc. ....................................... 18-53Jones v. Home Fed. Bank ........................................................... 18-64Jones v. SouthPeak Interactive Corp. of Del. ..................18-64, 18-67JPMorgan Chase & Co. v. Am. Century Cos., Inc. ................... 17-14J.P. Morgan Chase & Co. S’holder Litig., In re .............................. 6-7

KKaiser Aluminum & Chem. Co., In re ........................................ 7-11Kalkunte v. DVI Fin. Serv., Inc. ................................................. 18-65Kastigar v. United States ............................... 8-16, 8-19, 8-20, 16-43Keeper of Records, In re ............................................................... 8-23Kelleher v. City of Reading ........................................................ 18-13Kellogg Brown & Root, Inc., In re ......................................6-18, 6-29King Pharm., Inc. Sec. Litig., In re ............................................ 17-13Kissinger v. Reporters Comm. for Freedom of Press .................. 16-29Klopfenstein v. PCC Flow Techs. Holdings, Inc. ....................... 18-53Knauz BMW .............................................................................. 18-18Koch v. SEC ................................................................................. 9-43


T–10

Kokesh v. SEC ..................................................................15-3, 16-61Konop v. Hawaiian Airlines, Inc. ............................ 18-6, 18-7, 18-20Kuriakose v. Fed. Home Loan Mortg. Co. ................................. 15-28

LLaBranche Sec. Litig., In re .............................................15-27, 15-28LaCrosse v. Commodity Futures Trading Comm’n ..................... 15-5Lampf v. Gilbertson ..................................................................... 15-7Landrum v. Harris Cty. Emergency Corps. ................................ 18-31Laney v. Getty ............................................................................ 18-26LaRocca v. LaRocca ...................................................................... 18-6Lawrence E. Jaffe Pension Plan v.

Household Int’l ........................................................15-22, 17-13Lawson v. FMR LLC ................................ 18-54, 18-55, 18-58, 18-63Lectrolarm Custom Sys. v. Pelco Sales, Inc. ................................ 6-28Lerbs v. Buca Di Beppo .............................................................. 18-60Lernout & Hauspie Sec. Litig., In re ......................................... 15-28Leslie Fay Cos. Sec. Litig., In re .................................................. 7-24Levin v. C.O.M.B. Co. ................................................................. 7-22LIBOR-Based Fin. Instruments Antitrust

Litig., In re .................................................................15-12, 5-13LiButti v. United States ............................................................. 15-24Linde Thomson Langworthy Kohn

& Van Dyke, P.C. v. RTC .................................................... 16-54Lipsky v. Commonwealth United Corp. .................................... 15-35Livingston v. Wyeth, Inc. ................................................18-59, 18-60Lockheed Martin Corp. v. Admin. Review Bd.,

U.S. Dep’t of Labor ..................................................18-62, 18-63Loginovskaya v. Batratchenko ...................................................... 2-28

MMalin v. Siemens Med. Sols. Health Serv. ................................. 18-53Martin v. Consultants & Adm’rs ................................................... 8-7Martin Marietta Corp., In re ......................... 5-19, 7-27, 7-28, 15-21Materials Research Corp. .......................................................... 18-39Matrixx Initiatives, Inc. v. Siracusano ....................................2-6, 3-6Mayor & City Council of Balt., Md. v. Citigroup, Inc. ............... 15-6McCloskey v. Ameriquest Mortg. Co. ....................................... 18-65McEwen v. Digitran Sys., Inc. ..................................................... 7-10McLaren v. Microsoft Corp. ....................................................... 18-14McNally v. United States ............................................................. 3-17



McVane, In re .............................................................................. 9-27Medinol, Ltd. v. Bos. Sci. Corp. ......17-7, 17-10, 17-11, 17-13, 17-17Meng-Lin Liu v. Siemens A.G. .................................................. 18-70Merrill Lynch & Co. v. Allegheny Energy, Inc. ..................7-19, 17-8,

....................................................................................17-9, 17-15Meyers v. Nicolet Rest. of De Pere, LLC ................................... 18-34MicroStrategy, Inc., In re ............................................................. 2-42Midwest Motor Sports, Inc. v. Arctic Cat Sales, Inc. ................ 16-37Milbourne v. JRK Residential Am., LLC .................................... 18-31Miller v. Blattner ....................................................................... 18-13Miller v. Quest Diagnostics ....................................................... 18-31Milroy v. Hanson ......................................................................... 7-22Mintz v. Mark Bartelstein & Assocs. Inc. ................................... 18-6Morrison v. Nat’l Austl. Bank Ltd. .......................... 2-25, 2-26, 2-27,

.......................................................................... 2-28, 2-29, 18-56Mullen v. United States ............................................................. 16-38Multiquip, Inc. v. Water Mgmt. Sys. LLC ................................... 7-32Murphy Oil USA, Inc. v. N.L.R.B. ............................................ 18-40

NNapue v. Illinois .......................................................................... 8-12Nat’l Sec. Letter, In re ................................................................. 8-27Nat’l Tank Co. v. Brotherton ..................................................... 16-42Nationwide Mut. Ins. Co. v. Darden ......................................... 18-58Nat. Gas Commodity Litig., In re ............................................. 15-22Neder v. United States ........................................................3-16, 3-19New Jersey v. RRI Energy Mid-Atl. Power Holdings, LLC ........... 2-34New Phoenix Sunrise Corp. v. C.I.R. ........................................ 17-13New York v. United States ............................................................. 1-8N.Y.C. Emps.’ Ret. Sys. v. Berry .................................................. 2-31Newton v. Merrill Lynch, Pierce, Fenner & Smith, Inc. ................ 2-7Nguyen v. Excel Corp. ................................................................. 7-18Nielsen v. AECOM Tech. Corp. ................................................ 18-63N.L.R.B. v. Murphy Oil USA, Inc. ............................................ 18-40N.L.R.B. v. Pier Sixty, LLC ........................................................ 18-18NLRB v. Weingarten ........................................... 18-38, 18-39, 18-40Noel v. Hall ................................................................................. 18-6Nollner v. So. Baptist Convention, Inc. ..................................... 18-68Norex Petroleum Ltd. v. Access Indus., Inc. ................................ 2-26N. Am. Rescue Prods., Inc. v. Bound Tree Med., LLC ................. 7-32


T–12

OO’Connor v. Ortega ................................................................... 18-22Official Comm. of Unsecured Creditors of

WorldCom, Inc. v. SEC ......................................................... 2-35Ohio Pub. Emps. Ret. Sys. v.

Fed. Home Loan Mortg. Corp. ........................................... 15-27O’Mahony v. Accenture, Ltd. .................................................... 18-56Opperman v. Path, Inc. ................................................................ 18-6Option Res. Grp. v. Chambers Dev. Co. ................................... 16-60Oracle Corp. Derivative Litig., In re .............................................. 6-7Orman v. Cullman ........................................................................ 6-7Oyoyo v. Baylor Health Network, Inc. ......................................... 18-9

PPac. Pictures Corp., In re ............................... 6-22, 7-20, 7-26, 15-21Par Pharm. Inc., Derivative Litig., In re .............................6-30, 7-23Paradigm Capital Mgmt., Inc. &

Candace King Weir, In re .................................................... 14-22Parkcentral Glob. Hub Ltd. v. Porsche Auto. Holdings SE .......... 2-28Paulson v. Plainfield Trucking, Inc. ........................................... 16-37Payne v. Norwest Corp. ............................................................... 18-6Pearce v. E.F. Hutton Grp. ........................................................... 6-30Perlin, In re ............................................................................... 15-13Permian Corp. v. United States ............................................7-7, 7-26Peters v. Kiff ................................................................................... 8-6Pfizer, Inc. Sec. Litig., In re ...................................... 7-6, 17-9, 17-15Pharmatrak, Inc., In re ................................................................ 18-8Pierce v. SEC .............................................................................. 16-58Pietrylo v. Hillstone Rest. Grp. .................................................. 18-20Pik v. Credit Suisse AG, In re ................................................... 18-56Pillsbury Co. v. Conboy ............................................................. 15-25Pinkerton v. United States ........................................................... 3-15Piper v. Chris-Craft Indus., Inc. .................................................. 2-11Pittman v. Frazer ......................................................................... 7-19Platinum & Palladium Commodities Litig., In re ..................... 16-60Platone v. Atl. Coast Airlines .................................................... 18-62Platone v. FLYi, Inc. ................................................................... 18-61Plumbers’ Union Local No. 12 Pension Fund v.

Swiss Reins. Co. ................................................................... 2-27Police & Fire Ret. Sys. of City of Detroit v.

Safenet, Inc. ........................................................................ 15-22Press v. Chem. Inv. Servs. Corp. ................................................... 2-7



Prioleau v. Sikorksy Aircraft Corp. ............................................ 18-61Procaps S.A. v. Patheon ............................................................. 17-15Pugh v. Tribune Co. ..................................................................... 2-31Pyramid Controls, Inc. v. Siemens Indus. Automations, Inc. ....... 7-7

QQuail Cruises Ship Mgmt. Ltd. v.

Agencia de Viagens CVC TurLimitada ................................. 2-27Quon v. Arch Wireless Operating Co. ....................................... 18-14Qwest Commc’ns Int’l Inc. Sec. Litig., In re ........... 5-19, 7-20, 7-26,

............................................................. 7-27, 15-22, 15-23, 16-38

RR v. Rollins ................................................................................ 13-26Rad Servs. v. Aetna Cas. & Sur. Co ........................................... 15-24Radiant Burners, Inc. v. Am. Gas Ass’n ........................................ 7-4Randall v. Loftsgaarden ...........................................................2-4, 2-6Raymond J. Lucia Cos., Inc. v. SEC .................................9-45, 15-32Reardon v. ClosetMaid Corp. .........................................18-31, 18-32Regions Fin. Corp. v. United States ........................................... 17-14Reserve Fund Sec. & Derivative Litig., In re .............................. 18-14Rhinehimer v. U.S. Bancorp Invs., Inc. ..................................... 18-63Rhone-Poulenc Rorer Inc. v. Home Indem. Co. .......................... 7-18Richard Roe, Inc., In re ......................................................7-19, 7-20Richman v. Goldman Sachs Grp. Inc. ....................................... 16-57RNR Enters., Inc. v. S.E.C. .......................................................... 9-27Robrinzine v. Big Lots Stores, Inc. ............................................. 18-31Rondeau v. Mosinee Paper Corp. ................................................. 2-11Rose v. Mitchell ............................................................................. 8-4Rough Rice Commodity Litig., In re ......................................... 16-60Royal Bank of Scot. Grp. PLC Sec. Litig., In re ........................... 2-26Ryan v. Gilford ............................................................................ 6-27

SSalman v. United States ............................................. 2-21, 3-8, 3-11Samaritan Found. v. Goodfarb ................................................... 16-42Sanders v. Am. Broad. Cos. ....................................................... 18-23Sanders v. Robert Bosch Corp. ................................................... 18-10SandRidge Energy, Inc. S’holder Derivative Litig., In re .............. 7-18


T–14

Santa Fe Indus. v. Green ........................................................3-4, 3-5Schmuck v. United States ............................................................ 3-18Schnitzer Steel Indus., Inc., In re .............................................. 14-43Schoebel v. Am. Integrity Ins. Co. of Fla. .................................. 18-31Seagate Tech., LLC, In re ............................................................. 7-20Sears, Roebuck & Co. ................................................................ 18-39SEC v. A Chi. Convention Ctr. LLC .......................................... 18-71SEC v. Alexander ......................................................................... 15-7SEC v. Am. Bd. of Trade, Inc. ...................................................... 2-32SEC v. AremisSoft ..................................................................... 13-17SEC v. Bank of Am. Corp. ...................................... 7-27, 7-33, 16-60SEC v. Bankosky .......................................................................... 2-36SEC v. Berry ............................................................................... 17-11SEC v. Blackfoot Bituminous, Inc. .............................................. 9-27SEC v. Brigadoon Scotch Distrib. Co. .......................................... 9-28SEC v. Caledonian Bank Ltd. .................................................... 15-37SEC v. Cavanagh ......................................................................... 2-35SEC v. Cioffi .............................................................................. 15-27SEC v. Citigroup Glob. Mkts. Inc. .......................... 2-24, 2-25, 9-34,

........................................................... 15-34, 15-36, 15-37, 16-60SEC v. Clark .................................................................................. 2-8SEC v. Commonwealth Chem. Sec., Inc. ...........................2-35, 15-7SEC v. Cont’l Tobacco Co. of S.C. ................................................. 2-4SEC v. Control Metals Corp. ..................................................... 15-26SEC v. CR Intrinsic Inv’rs, LLC .......................................2-24, 15-37SEC v. Craig .............................................................................. 18-17SEC v. Daifotis ............................................................................ 2-14SEC v. Dain Rauscher, Inc. ............................................................ 2-5SEC v. Delphi Corp. .................................................................... 9-40SEC v. DiBella ............................................................................. 15-7SEC v. Diversified Corp. Consulting Grp. ................................... 15-7SEC v. Doody ............................................................................ 15-10SEC v. Dresser Indus. ........................................... 15-5, 15-10, 15-25SEC v. E. Delta Res. Corp. ........................................................ 13-18SEC v. Fife ................................................................................... 2-33SEC v. First Jersey Sec., Inc. ........................................................ 2-35SEC v. Forster .............................................................................. 9-28SEC v. Francisco Abellán ........................................................... 13-17SEC v. Gemstar-TV Guide Int’l, Inc. .............................18-44, 18-45SEC v. Gen. Elec. Co. ................................................................ 14-41SEC v. Gilbert ............................................................................ 15-27SEC v. Glob. Techs. Corp. ........................................................... 2-37SEC v. Goldman Sachs & Co. ............................................2-26, 2-27SEC v. Grossman ....................................................................... 15-26SEC v. Gupta ............................................. 9-43, 15-23, 15-24, 15-30



SEC v. Gupta & Rajaratnam ..................................................... 15-30SEC v. Halliburton Co. & KBR, Inc. ..............................13-19, 14-32SEC v. Happ ................................................................................ 2-34SEC v. Hasho ............................................................................... 2-32SEC v. HealthSouth Corp. ..............................................15-25, 18-45SEC v. Horowitz & Ullman P.C. ............................................... 15-14SEC v. IBM ................................................................................ 14-39SEC v. Innospec, Inc. ................................................................. 14-47SEC v. Ira Zar ............................................................................ 16-27SEC v. Jerry T. O’Brien, Inc. ................................... 9-27, 16-9, 16-31SEC v. Johnson ............................................................................ 2-32SEC v. Johnson & Johnson ........................................................ 14-33SEC v. Jones ................................................................................ 15-7SEC v. Kanodia et al. ................................................................. 15-26SEC v. Koninklijke Ahold N.V. .................................................. 13-17SEC v. Kornman .......................................................................... 15-9SEC v. Leslie ................................................................................ 15-7SEC v. Levine ............................................................................... 2-35SEC v. Lorenz Kohler &

Swiss Real Estate Int’l Holding AG .................................... 13-15SEC v. Lydia Capital, LLC ......................................................... 13-16SEC v. Microtune, Inc. ................................................................ 6-29SEC v. Monarch Funding Corp. ................................................ 15-38SEC v. Mutuals.com .........................................................15-9, 15-26SEC v. Nacchio ............................................................................ 15-9SEC v. Namer .............................................................................. 2-35SEC v. Nature’s Sunshine Prods., Inc. ................ 14-40, 14-52, 14-53SEC v. Oakford Corp. ............................................. 15-6, 15-8, 15-25SEC v. One or More Unknown Purchasers of the Call

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

SEC v. Oscar H. Meza ....................................................14-38, 14-43SEC v. Palmisano ......................................................................... 15-5SEC v. Pardue .............................................................................. 2-33SEC v. Patel ........................................................................2-36, 2-42SEC v. Pentagon Capital Mgmt. PLC .............................15-35, 16-60SEC v. Platforms Wireless Int’l Corp. .......................................... 3-13SEC v. Posner .............................................................................. 2-34SEC v. Rana Research, Inc. ............................................................ 2-8SEC v. Rind ................................................................................. 15-7SEC v. Robert W. Philip ............................................................. 14-43SEC v. Roberts ............................................. 6-27, 9-28, 17-10, 17-11SEC v. Sandifur .......................................................................... 15-26SEC v. Sargent ............................................................................. 2-34SEC v. Savoy Indus., Inc. ............................................................. 2-32


T–16

SEC v. Schiffer ............................................................................... 2-4SEC v. Schroeder ..............................................................7-20, 17-11SEC v. Scott ................................................................................. 2-33SEC v. Sharef ..................................................................13-19, 14-51SEC v. Si Chan Wooh ................................................................ 14-43SEC v. Siemens Aktiengesellschaft .................................13-18, 14-29SEC v. Snyder .............................................................................. 2-36SEC v. Spence & Green Chem. Co. ............................................ 2-33SEC v. State St. Bank & Tr. Co. ................................................ 10-19SEC v. Steven Woghin ............................................................... 16-27SEC v. Straub et al. .................................................................... 14-50SEC v. Subaye, Inc. .................................................................... 15-37SEC v. Suterwalla ...................................................................... 13-16SEC v. Tambone .......................................................................... 3-13SEC v. The Comm. on Ways and Means of the

House of Representatives ...................................................... 9-28SEC v. Unifund SAL .................................................................... 2-33SEC v. Walters ........................................................................... 15-26SEC v. Westerfield ...................................................................... 15-38SEC v. Zandford ........................................................................ 15-38SEC Amicus Curiae Brief, McKesson Corp. v. McCall .............. 15-22Seyler v. T-Systems N. Am., Inc. ................................................ 7-30SG Cowen Sec. Corp. v. U.S. Dist. Court for

the N. Dist. of Cal. ..................................................15-26, 15-27Shefts v. Petrakis .......................................................................... 18-9Shell Oil Co. v. Par Four P ’ship ................................................. 16-42Sherman v. Ryan ........................................................................ 17-14Shillitani v. United States .............................................................. 8-6Shionogi Pharm., Inc. v. Mylan Pharm., Inc. .............................. 7-30Short Sale Antitrust Litig., In re .................................................. 15-6Shukh v. Seagate Tech., LLC ....................................................... 7-30Sidney I. v. Focused Retail Prop. I, LLC ...................................... 7-30Silverstein v. Fed. Bureau of Prisons ............................................ 7-29Simkins v. United States ............................................................. 8-20Sinadinos, In re ........................................................................... 8-23Singleton v. Domino’s Pizza, LLC ............................................. 18-31Six Grand Jury Witnesses, In re .................................................... 7-3Skilling v. United States .....................................................3-17, 3-18Slaughter v. NLRB ..................................................................... 18-39Smith v. Waverly Partners, LLC ................................................. 18-31Smyth v. Pillsbury Co. ............................................................... 18-14Sneider v. Kimberly-Clark Corp. .................................................... 7-4Snoonian, In re .......................................................................... 16-38Spears v. First Am. eAppraiseIT .........................................7-18, 7-28Speer v. Whole Food Mkt. Grp., Inc. ......................................... 18-31



Spokeo, Inc. v. Robins ............................................................... 18-34Standard Inv. Chartered v. Nat’l Ass’n of Sec. Dealers ................ 12-5Starshinova v. Batratchenko ........................................................ 2-28State v. Bonnell .......................................................................... 18-23State v. Rachmani Corp. .............................................................. 5-38Steinhardt Partners, L.P., In re .............................. 7-28, 15-21, 15-22Stengart v. Loving Care Agency, Inc. ......................................... 18-16Steve Jackson Games, Inc. v. U.S. Secret Serv. ............................ 18-6Stevenson v. TRW Inc. .............................................................. 18-30Stoneridge Inv. Partners, LCC v. Scientific-Atlanta, Inc. ....2-30, 2-31Stopka v. All. of Am. Insurers ..................................................... 7-23Strougo v. BEA Assocs. ................................................................ 7-18Subpoenas Duces Tecum, In re .............................. 7-27, 7-28, 15-22Subpoenas Served Upon the Law Firm of Snow,

Christensen & Martineau and the Canopy Grp., In re ........ 7-34Swan v. SEC .............................................................................. 16-35Syed v. M-I LLC ......................................................................... 18-31Sylgab Steel & Wire Corp. v. Imoco-Gateway Corp. ................... 7-21Sylvester v. Parexel Int’l LLC ................... 18-60, 18-61, 18-62, 18-63Syncor ERISA Litig., In re ......................................................... 15-21

TTalisse v. UBS AG ...................................................................... 18-56Taylor v. Singletary .................................................................... 16-43Teachers 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 ..................................................................... 16-34Thomas v. FTS USA, LLC ......................................................... 18-30Thompson v. Johnson Cty. Cmty. Coll. .................................... 18-22Thorncreek Apartments III, LLC v. Village of Park Forest .......... 7-32Three Grand Jury Subpoenas, In re ........................................... 16-33Thunder Basin Coal Co. v. Reich .............................................. 15-31Thygeson v. U.S. Bancorp ......................................................... 18-14Tides v. The Boeing Co. ............................................................ 18-59Tilton v. SEC ....................................................................9-45, 15-32Town & Country Supermarkets ................................................ 18-25Townsend v. Big Dog Holdings, Inc. .......................................... 18-62Trailmobile Trailer, LLC ............................................................ 18-25Transamerica Mortg. Advisors, Inc. v. Lewis ............................... 2-15Triple Play Sports Bar & Grille v. N.L.R.B. ............................... 18-18Tronox Inc., In re ...................................................................... 15-37


T–18

Trujillo v. City of Ontario .......................................................... 18-22TSC Indus., Inc. v. Northway, Inc. ........................................2-7, 3-6Tull v. United States .................................................................... 9-39

UUlrich v. Moody ’s Corp. ............................................................ 18-70United States, Ex parte ................................................................ 8-13United States ex rel. Garbe v. Kmart Corp. ................................. 6-22United States v. Abrams .............................................................. 15-4United States v. Ackert .................................................................. 7-5United States v. Adkinson ........................................................... 3-20United States v. Adlman ......................................... 7-9, 17-14, 17-16United States v. Aguilar ......................................................3-22, 3-23United States v. Alewelt .............................................................. 8-22United States v. Alfred C. Toepfer Int’l ............................14-8, 14-28United States v. Allen .................................................................. 3-17United States v. Amaro Goncalves ............................................ 14-36United States v. Amrep Corp. ..................................................... 3-17United States v. Ashdown ............................................................. 3-6United States v. Avellino ........................................................... 16-45United States v. Avon Prods., Inc. ............................................. 14-27United 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 .......................................................... 15-13United States v. Bizjet Int’l Sales & Support, Inc. ..................... 14-35United States v. Bloom .............................................................. 16-55United States v. Booker ........................4-10, 4-11, 4-12, 4-24, 16-64United States v. Bradstreet .......................................................... 3-12United States v. Breslin ............................................................... 7-17United States v. Bright ............................................................... 16-33United States v. Bruce E. Karatz .................................................. 3-21United States v. Bryant ................................................................ 3-16United States v. Butler ............................................................... 14-13United States v. Calandra ............................................................ 8-12United States v. Campbell ........................................................... 8-27United States v. Cappetto .......................................................... 16-43United States v. Carson ............................................................. 16-26



United States v. Cassese ................................................................ 3-4United States v. Charnay ............................................................... 3-6United States v. Chen ..................................................7-6, 7-20, 7-22United States v. Chestman ............................................................ 2-9United States v. ChevronTexaco Corp. ...................................... 17-16United States v. City of New York ............................................. 15-37United States v. Councilman ...................................................... 18-6United States v. David A. Stockman ........................................... 3-14United States v. David Blaszczak et al. ...............................3-25, 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 ................... 7-3, 8-17, 8-18, 11-7, 16-32, 16-33United States v. Donovan ............................................................ 3-14United States v. Doug Whitman ................................................. 3-14United States v. Dynavac, Inc. .................................................. 16-34United States v. Ebbers .........................................................3-6, 3-12United 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 ................................................................ 18-13United States v. Fanfan ............................................................... 4-11United States v. Farris ................................................................. 3-14United States v. Fermin Castillo ................................................. 3-19United States v. Fields ......................................................15-8, 15-10United States v. Finazzo ............................................................ 18-13United States v. Fiore ................................................................ 15-10United States v. Flemmi .............................................................. 8-11United States v. Flomenhoft .......................................................... 8-6United States v. Frederick ............................................................ 18-9United States v. George David Gordon ....................................... 3-15United States v. Gillespie ............................................................ 8-25United States v. Godoy .................................................................. 8-5United States v. Grady .............................................................. 18-11United 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, 15-30United States v. Hallmark Constr. Co. ...................................... 14-14United States v. Halper ............................................................... 15-5United States v. Hassoun .......................................................... 18-13United States v. Hatfield ............................................................. 17-7United States v. Higgins .............................................................. 3-23United States v. Hogan ................................................................ 8-12


T–20

United States v. Horvath ........................................................... 16-24United States v. Hoskins ................................................14-51, 14-52United States v. HSBC Bank USA ............................................. 14-49United States v. Hudson .............................................................. 6-22United States v. IBM ................................................................. 15-37United States v. ISS Marine Servs., Inc. ...................................... 7-13United States v. Jacobs ................................................................ 7-20United States v. Jeffrey K. Skilling & Richard A. Causey ............ 3-14United 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 ................................................................ 16-43United States v. Kellogg Brown & Root LLC ............................. 14-32United States v. Kelly .................................................................. 3-23United States v. Kordel .......................15-4, 15-5, 15-8, 15-24, 16-12United States v. Kovel ......................................................7-16, 16-54United States v. Koyomejian ..................................................... 18-22United States v. Kozeny ..................................................14-13, 14-17United States v. Lake ................................................................... 3-13United States v. Libby .................................................................. 3-24United States v. La. Generating, LLC ........................................ 14-14United States v. MacKey ............................................................ 16-29United States v. Mahaffy ........................................................... 15-33United States v. Mandujano ........................................................ 8-16United States v. Marion .............................................................. 8-12United States v. Martin ..........................................................7-3, 7-6United States v. Martoma ..................................................2-20, 2-23United States v. Mass. Inst. of Tech. ..................................7-26, 7-29United 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. ............................... 14-58United States v. Michael Stein .................................................... 3-21United States v. Mullins ............................................................ 18-11United States v. Murdock .......................................................... 18-10United States v. Newman ............. 2-20, 2-21, 2-22, 2-23, 3-10, 3-11United States v. Nixon ................................................................ 7-10United States v. Nosal ............................................................... 17-10United States v. O’Hagan ..............................................3-7, 3-8, 3-19United States v. Pabian .................................................................. 8-6United States v. Parrott ............................................................. 15-14United States v. Phillip Windom Offill, Jr. .................................. 3-15United States v. Pitt-Des Moines, Inc. ...................................... 16-55



United States v. Powell ................................................................ 9-28United States v. Procter & Gamble Co. ....................................... 8-27United States v. Provenzano .......................................................... 8-5United States v. Quattrone .......................................................... 3-24United States v. R. Enters. ........................8-9, 8-11, 8-12, 8-22, 8-23United States v. Rabinowich ........................................................ 3-15United States v. Rajaratnam ................................ 2-17, 2-18, 3-7, 3-9United States v. Rand .......................................................15-8, 15-14United States v. Re ...................................................................... 3-14United States v. Reliant Energy Servs., Inc. ............................... 10-55United States v. Reyes ................................................................. 3-12United States v. Richard M. Scrushy ........................ 3-14, 3-21, 3-22United 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 .............................................................. 16-36United States v. Ronda .............................................................. 16-26United States v. Ropp .................................................................. 18-6United States v. Ruehle ............................................................... 6-18United States v. Russell ............................................................... 3-25United States v. Ryan ................................................................ 16-31United States v. Salman ........................................... 2-21, 2-22, 2-23United States v. Schaeffer .....................................................3-6, 3-14United States v. Scott .................................................................. 8-11United States v. Scrushy ............................ 3-22, 15-15, 16-12, 16-41United States v. Sells Eng’g, Inc. .................................. 8-3, 8-8, 16-8United States v. Setser ............................................................... 15-15United States v. Sheneman .......................................................... 3-16United States v. Siemens Aktiengesellschaft ...... 13-18, 14-29, 14-30United States v. Simmons ........................................................... 3-23United States v. Singleton ................................................6-19, 16-27United States v. Smallwood ....................................................... 16-37United States v. Smith .....................................................15-14, 18-6United States v. Snamprogetti Netherlands B.V. ....................... 14-13United States v. Star .................................................................... 8-11United States v. Steiger ................................................................ 18-6United States v. Stein ..................................... 4-19, 4-20, 4-24, 7-35,

........................................................... 15-15, 16-47, 16-53, 18-47United States v. Steinberg ............................................................ 2-21United States v. Stewart .............................................................. 3-24United States v. Stockman ........................................................ 16-27United States v. Stringer .................15-8, 15-14, 15-15, 16-12, 16-41United States v. Sullivan ............................................................. 8-26United States v. Sylvester Norman Knows His Gun, III ........... 16-65United States v. Szymuszkiewicz ................................................. 18-7


T–22

United States v. Technip ............................................................ 14-33United States v. Textron Inc. ..........................................17-14, 17-15United States v. Teyibo .............................................................. 15-33United States v. Thomas ............................................................. 8-11United States v. Thompson ................................................8-6, 15-21United States v. Torres-Hernandez ................................................ 8-4United States v. Turk ................................................................... 18-6United States v. Turner ................................................................ 3-18United States v. Van Poyck .......................................................... 18-8United States v. Van Waeyenberghe ........................................... 16-63United States v. Wade .................................................................. 8-16United States v. Wallach .............................................................. 3-15United States v. Washington ....................................................... 8-25United States v. Webb ................................................................ 16-38United States v. Weinstein ........................................................ 16-34United States v. Weiss ......................................................3-19, 16-31United States v. Wellcare Health Plans, Inc. ............................... 5-28United States v. Wells ................................................................ 16-38United States v. White ..........................................................7-5, 8-18United States v. Williams .......................7-27, 8-9, 8-12, 8-13, 16-55United States v. Williams Cos., Inc. ........................................... 7-27United 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, 7-3,

.................................................................7-4, 7-6, 7-7, 7-9, 7-12,

.............................................. 7-13, 7-14, 7-15, 7-17, 7-18, 16-42U.S. v. Braskem ......................................................................... 14-23U.S. v. Odebrecht ...................................................................... 14-23U.S. Postal Serv. v. Phelps Dodge Ref. Corp. ................................. 7-5

VVacold LLC & Immunotherapy v. Cerami ................................. 15-28Van Asdale v. Int’l Game Tech. ...........................18-59, 18-60, 18-61Vardon Golf Co. v. BBMG Golf Ltd. .............................................. 7-9Veeco Instruments, Inc. Sec. Litig., In re ...........................7-19, 7-24Vega-Rodriguez v. P.R. Tel. Co. .................................................. 18-22Velsicol Chem. Corp. v. Parsons .................................................. 7-22Villanueva v. Core, NV .............................................................. 18-57Villanueva v. U.S. Dep’t of Labor .............................................. 18-58Vioxx Prods. Liab. Litig., In re ..............................................7-7, 7-24VLT Corp. v. Unitrode Corp. ......................................................... 7-3



WWalsh Sec. v. Cristo Prop. Mgmt., Ltd. ..................................... 15-26Walters v. Deutsche Bank AG, In re .......................................... 18-56Walton v. Nova Info. Sys. .......................................................... 18-64Warshak v. United States ........................................................... 16-32Watkins v. L.M. Berry & Co. ................................ 18-9, 18-10, 18-11Weatherford v. Bursey .................................................................. 7-17Weatherford Int’l Sec. Litig., In re ..................................15-19, 15-22Weil v. Inv./Indicators, Research & Mgmt., Inc. .......................... 7-22Welch v. Cardinal Bankshares Corp. ......................................... 18-65Welch v. Chao ............................................................................ 18-61Wesley Coll. v. Pitts ..................................................................... 18-5Westernbank P.R. v. Kachkar ..................................................... 17-11Westinghouse Elec. Corp. v. Republic of Philippines ........... 7-18, 7-20,

......................................................7-26, 7-29, 15-21, 15-22, 16-18Whalen v. Roe ............................................................................ 16-38Whitaker Chalk Swindle & Sawyer, LLP v.

Dart Oil & Gas Corp. ..................................................7-33, 7-34Wiest v. Lynch ................................................................18-60, 18-62Wiest v. Tyco Elecs. Corp. ......................................................... 18-62Williams v. District of Columbia ................................................ 7-32Williams v. United States ............................................................ 8-11Wilson v. United States ............................................................... 8-18Wood v. Dow Chem. Co. ......................................................... 18-61WorldCom Sec. Litig., In re ............................................15-27, 15-28Wright v. Lincoln Prop. Co. ....................................................... 18-32

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

YYates v. United States ................................................................ 16-25

ZZiner v. Cedar Crest Coll. ........................................................... 7-24Zinn v. Am. Commercial Lines Inc. .......................................... 18-61Zynga Privacy Litig., In re ........................................................... 18-5

T–24


STATUTES

Statutes by NameAdministrative Procedures Act .................................................. 15-29Alternative Fines Act ................................................................. 14-15Attorney-Client Privilege Protection Act of 2008 ...................... 15-18Attorney-Client Privilege Protection Act of 2009 ...................... 15-18Bank of England Act 1998

§ 9C(1) ................................................................................ 13-24Bank Secrecy Act ..........................10-34, 10-35, 10-38, 10-45, 10-46Civil Asset Forfeiture Reform Act .............................................. 14-16Commodities Exchange Act (CEA) .............................................. 2-28Communications Assistance for Law Enforcement

Act (CALEA) (1994) .............................................................. 18-5Computer Fraud & Abuse Act ................................................... 18-27Consumer Financial Protection Act of 2010 ............................. 18-52Coroners and Justice Act 2009

§ 113 .................................................................................. 13-22Criminal Justice Act 1993 ......................................................... 13-26Dodd-Frank Wall Street Reform and Consumer Protection Act

generally ...............................................1-2, 2-29, 9-4, 9-5, 11-4,............................................14-21, 15-3, 16-62, 18-35, 18-66

§ 922 .................................................................................... 2-14§ 929E .................................................................................. 9-39§ 929M ................................................................................. 2-30§ 929M–O ............................................................................ 2-14§ 929N ................................................................................. 2-30§ 929O ................................................................................. 2-29§ 929P ............................... 9-41, 9-42, 9-43, 15-3, 16-62, 18-71§ 929P(a) ........................................................... 2-14, 2-38, 9-41§ 929P(a)(1) .......................................................................... 9-42§ 929P(b) ......................................................... 2-14, 2-26, 18-70§ 929P(b)(2) ........................................................................ 18-70§ 929U ............................................................................... 16-58§ 929Y .........................................................................2-28, 2-29§ 929Z(a) .............................................................................. 2-31§ 965 .................................................................................... 11-4

Electronic Communications PrivacyAct of 1986 (ECPA) ........................18-5, 18-6, 18-7, 18-8, 18-9,................................................18-10, 18-11, 18-12, 18-22, 18-27

Email Privacy Act ........................................................................ 18-5Employee Polygraph Protection Act (EPPA) ............................... 18-26



Fair and Accurate Credit TransactionsAct of 2003 (FACTA) ...............................................18-30, 18-34

Fair Credit Reporting Act (FCRA) ..................... 18-27, 18-28, 18-29,........................................................... 18-30, 18-31, 18-32, 18-33§ 611(d) .............................................................................. 18-30

Federal Wiretap Act ................................................................... 18-22Financial Services Act 2012 ..................... 13-23, 13-24, 13-25, 13-33Financial Services and Markets Act 2000

generally ...............................13-23, 13-24, 13-25, 13-26, 13-27,.............................. 13-29, 13-30, 13-31, 13-32, 13-33, 13-34

§ 1B .........................................................................13-24, 13-26§ 2B–2D .............................................................................. 13-24§ 3B .................................................................................... 13-24§ 123 .................................................................................. 13-25§ 169 ........................................................... 13-30, 13-32, 13-33§ 348 .................................................................................. 13-34§ 354A ................................................................................ 13-29§ 397 .......................................................................13-26, 13-32§ 401 .................................................................................. 13-25§ 402 .................................................................................. 13-25

Financial Services Regulatory Relief Act of 2006 ............15-17, 15-18§ 607 .................................................................................. 15-18

FISA Amendments Act (2008) ..................................................... 18-5Foreign Corrupt Practices Act (FCPA) ............ 4-15, 4-28, 5-16, 5-17,

................................................. 5-22, 5-23, 6-26, 9-2, 9-15, 9-16,

......................................... 9-17, 9-18, 9-42, 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, 13-18, 13-19, 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,

.............14-31, 14-32, 14-33, 14-34, 14-35, 14-36, 14-37, 14-38,

.............14-39, 14-40, 14-41, 14-42, 14-43, 14-44, 14-45, 14-46,

.............14-47, 14-49, 14-50, 14-51, 14-52, 14-53, 14-54, 14-55,

..............14-56, 14-57, 14-58, 14-59, 14-60, 14-61, 16-50, 18-68Freedom of Information Act (FOIA) ........... 9-22, 11-11, 13-5, 15-11,

.................................... 15-12, 16-33, 16-34, 16-35, 16-36, 18-64Gramm-Leach-Bliley Act ........................................................... 18-27Identity Theft and Assumption Deterrence Act of 1998 ........... 18-27Insider Trading and Securities Fraud Enforcement

Act of 1988 .......................................................... 2-3, 2-16, 15-7Insider Trading Sanctions Act of 1984 .................................2-3, 2-16Investment Advisers Act of 1940

generally .......................................................... 2-14, 11-4, 16-31§ 203(i)(1)(A) ........................................................................ 2-40

T–26


§ 203(i)(1)(B) ......................................................................... 2-40§ 203(i)(1)(C) ........................................................................ 2-41§ 203(i)(1)(D) ........................................................................ 2-41§ 203(i)(3) ............................................................................. 2-40§ 203(k) .................................................................................. 9-7§ 204 .................................................................................... 11-4§ 206 .................................................................................... 2-15§ 209(e) ................................................................................. 2-33

Investment Company Act of 1940generally .................................................... 2-3, 2-15, 2-30, 2-33,

..............................................9-41, 11-3, 11-20, 16-31, 16-62§ 9(d)(1) ................................................................................ 2-40§ 9(d)(2) ................................................................................ 2-40§ 9(d)(3) .......................................................................2-40, 2-41§ 31(a) .........................................................................11-3, 11-4§ 31(b) .................................................................................. 11-3§ 31(b)(3) .............................................................................. 11-4§ 31(c) ................................................................................... 11-4§ 32(c) ................................................................................... 11-4§ 42(e) ................................................................................... 2-33

Jencks Act ...........................................................................8-8, 16-45Jumpstart Our Business Startups Act ........................................ 11-24Jury Selection and Service Act of 1968 .......................................... 8-4Labor Management Relations Act ............................................. 18-22National Labor Relations Act (NLRA)

generally ......... 18-18, 18-19, 18-22, 18-25, 18-38, 18-39, 18-40§ 7 ...................................................................................... 18-39§ 157 .................................................................................. 18-19

Occupational Safety and Health Administration (OSHA) ......... 18-52Omnibus Crime Control and Safe Streets Act of 1968 ............... 18-5Private Securities Litigation Reform Act of 1995 (PSLRA)

generally ............................................... 2-29, 2-31, 15-27, 15-28§ 104 .................................................................................... 2-29

Proceeds of Crime Act 2002 ...................................................... 13-26Racketeer Influenced and Corrupt Organizations

Act (RICO) ......................................................... 2-26, 4-8, 14-16Remedies Act of 1990 .......................................................2-38, 16-62Sarbanes-Oxley Act of 2002 (SOX)

generally .....................1-2, 1-8, 1-10, 2-2, 2-3, 2-17, 2-35, 2-37,.............................2-43, 3-2, 3-16, 3-20, 3-22, 3-24, 4-5, 4-8,.................................... 5-4, 6-3, 6-6, 6-19, 6-23, 6-24, 16-27,.............................. 16-49, 16-65, 18-35, 18-46, 18-51, 18-63

§ 3 .......................................................................................... 5-5§ 105 ...................................................................................... 5-8§ 204 .............................................................................2-13, 5-8



§ 301 ....................................................................5-5, 6-3, 18-71§ 302 ...................................................................................... 5-6§ 303 .................................................................................... 17-4§ 304 .............................................................................2-43, 5-7§ 306 .................................................................................... 2-13§ 307 ...............................................................................5-8, 6-4§ 308(a) ................................................................................ 2-43§ 404 .............................................................................5-7, 6-25§ 802 .................................................................................... 6-11§ 804 ...................................................................................... 5-9§ 805(a)(5) .............................................................................. 4-5§ 806 ............................................... 18-51, 18-54, 18-56, 18-57,

..........................................18-59, 18-61, 18-62, 18-64, 18-65§ 806(a) .............................................................................. 18-54§ 1103 .............................................. 16-53, 18-44, 18-45, 18-46§ 1103(a) ............................................................................ 18-45§ 1105 .................................................................................. 2-38§ 1105(a)–(b) ......................................................................... 2-38§ 1107 .................................................................................... 5-9

Securities Act of 1933generally .................................................1-8, 2-2, 2-3, 2-6, 2-30,

.......................................... 3-2, 5-5, 9-41, 13-32, 15-3, 16-62§ 3(a)(2) .................................................................................. 2-4§ 5 .........................................................2-3, 3-2, 3-4, 3-13, 3-14§ 8A ...................................................................................... 2-38§ 8A(g)(2) ............................................................................ 16-62§ 11 ...............................................................................2-4, 15-6§ 12 ..........................................................................2-3, 2-4, 2-5§ 12(a) .................................................................................. 15-6§ 12(a)(2) ................................................................................ 2-4§ 13(a) .................................................................................... 3-2§ 13(b) .................................................................................... 3-2§ 17 ........................................................................................ 2-5§ 17(a) .............................. 2-5, 3-2, 3-4, 3-13, 3-14, 3-19, 10-23§ 17(a)(1) .......................................................................2-5, 2-35§ 17(a)(2) ................................................................................ 2-5§ 17(a)(3) ................................................................................ 2-5§ 20(b) .................................................................................. 2-32§ 20(d) ................................................................................ 16-63§ 20(e) .................................................................2-35, 2-36, 2-37§ 21(d)(1) .............................................................................. 2-33§ 24 .................................................................................3-3, 4-8

Securities Exchange Act of 1934 (Exchange Act)generally .............................. 1-8, 1-10, 2-2, 2-3, 2-6, 2-33, 2-38,

.................................. 3-2, 3-21, 5-5, 5-38, 9-41, 11-3, 11-20,

................................ 13-32, 15-3, 16-31, 16-58, 16-62, 18-67

T–28


§ 3(a) .................................................................................. 18-53§ 3(a)(26) .............................................................................. 13-4§ 3(a)(47) .............................................................................. 13-4§ 3(a)(51) .............................................................................. 13-4§ 4C ...................................................................................... 2-25§ 9 ........................................................................................ 15-7§ 10(b) ..........................2-5, 2-6, 2-7, 2-8, 2-9, 2-12, 2-25, 2-26,

.................................2-28, 2-29, 2-35, 3-2, 3-4, 3-5, 3-6, 3-7,

......................3-8, 3-12, 3-13, 3-19, 3-21, 10-23, 14-40, 15-6§ 10A ..................................................................... 5-5, 5-8, 17-5§ 10A(a) ................................................................................ 3-25§ 10A(b)(1)(A) ....................................................................... 17-5§ 10A(b)(1)(B) ....................................................................... 17-5§ 10A(b)(2) ............................................................................ 17-6§ 10A(b)(3) ............................................................................ 17-6§ 12 .................................................2-10, 2-11, 2-39, 5-5, 18-53§ 12(b)(6) ............................................................................ 18-62§ 12(k)(2) ............................................................................ 13-20§ 13 .....................................................2-9, 2-10, 2-39, 3-4, 3-12§ 13(a) ............................................................... 2-10, 3-11, 3-12§ 13(b) ...................................................... 2-10, 2-11, 3-11, 3-12§ 13(b)(2) .............................................................................. 2-11§ 13(b)(2)–(7) ........................................................................ 2-10§ 13(b)(2)(A) .......................................................................... 3-11§ 13(b)(2)(B) .......................................................................... 3-11§ 13(d) .........................................................................2-11, 2-12§ 13(e) ................................................................................... 2-12§ 13(g) ................................................................................... 2-11§ 14 .............................................................................2-10, 2-39§ 14(e) ............................................................................2-12, 3-8§ 15(b)(4)(E) .......................................................................... 2-40§ 15(b)(6) .............................................................................. 9-36§ 15(b)(8) .............................................................................. 12-2§ 15(b)(9) .............................................................................. 12-2§ 15(c)(4) .............................................................................. 2-39§ 15(d) ...................................................... 2-11, 2-39, 5-5, 18-53§ 15A .................................................................................... 12-2§ 16(b) .................................................................................. 15-6§ 17 ........................................................................................ 4-8§ 17(a) .................................................................................. 11-3§ 17(b) .................................................................................. 11-3§ 18 .............................................................................2-12, 15-7§ 20(a) .....................................................................14-40, 14-53§ 20(e) ..............................................2-29, 2-30, 2-35, 2-36, 2-37



§ 21(a) ..............................................5-10, 5-11, 6-5, 9-12, 10-5,..........................................15-16, 15-21, 16-48, 18-17, 18-36

§ 21(a)(2) .............................................................................. 13-4§ 21(d) .........................................................................2-29, 2-32§ 21(d)(1) .............................................................................. 2-33§ 21(d)(2) .................................................. 2-35, 2-36, 2-37, 9-36§ 21(d)(3) ....................................................... 2-29, 16-62, 16-63§ 21(d)(3)(A) ......................................................................... 2-33§ 21(d)(3)(B) .......................................................................... 9-35§ 21A .................................................................................... 2-16§ 21A(2) ................................................................................ 9-35§ 21A(a)(2) .......................................................................... 16-62§ 21A(b)(1)(A) ....................................................................... 9-18§ 21B(a)(1) ............................................................................ 2-40§ 21B(a)(2) ............................................................................ 2-40§ 21B(a)(3) ............................................................................ 2-41§ 21B(a)(4) ............................................................................ 2-41§ 21B(b) .............................................................................. 16-62§ 21B(c) ................................................................................ 2-40§ 21C ................................................................. 9-7, 9-15, 18-71§ 21C(a) ................................................................................ 2-38§ 21D(b)(3)(B) ..................................................................... 15-27§ 21F .................................................................................... 6-10§ 24(c) ................................................................................... 13-4§ 24(d) .........................................................................13-4, 13-5§ 28(e) ........................................................................11-9, 13-20§ 32(a) ............................................................ 3-3, 3-4, 3-11, 4-8

Securities Investor Protection Act ............................................... 15-4Serious Organized Crime and Police Act 2005 (SOCPA) .......... 13-22

§ 73 .................................................................................... 13-22Stop Trading on Congressional Knowledge (STOCK)

Act of 2012 ........................................................................... 2-17Stored Communications Act ................................ 18-5, 18-14, 18-20Telephone Records and Privacy Protection Act of 2006 ............ 18-27Travel Act .................................................................................. 14-16Trust Indenture Act of 1939 ........................................................ 15-4Truth in Lending Act (TILA) .................................................... 18-30U.K. Anti-Bribery Act .....................14-5, 14-12, 14-41, 14-43, 14-45

§ 7 ...................................................................................... 14-46USA PATRIOT Act (2001) ........................................................... 18-5Victim and Witness Protection Act of 1982 ................................ 3-23Walsh Act .................................................................................... 8-10Williams Act of 1968 .........................................................2-10, 2-12Wire Fraud Act .......................................................................... 18-27

T–30


Public Laws97-291 (Victim and Witness Protection Act of 1982) ................. 3-23107-204 (Sarbanes-Oxley Act of 2002 (SOX)) ..................3-2, 4-5, 5-5,

............................................................... 16-27, 17-4, 18-44, 18-65108-159 (Fair and Accurate Credit Transactions

Act of 2003) ........................................................................ 18-30109-351 (Financial Services Regulatory Relief Act of 2006) ...... 15-18111-203 (Dodd-Frank Wall Street Reform and

Consumer Protection Act) ............................. 11-4, 14-21, 16-62

United States CodeTITLE 5

§ 552 ............................... 15-11§ 552(b)(1) ....................... 15-11§ 552(b)(2) ....................... 15-12§ 552(b)(3) ....................... 15-12§ 552(b)(4) ....................... 15-12§ 552(b)(5) ....................... 15-12§ 552(b)(6) ....................... 15-12§ 552(b)(7) ....................... 15-12§ 552(b)(8) ....................... 15-12§ 552(b)(9) ....................... 15-12

TITLE 12

§ 1785(j) .................7-27, 15-18§ 1828(x) ................7-27, 15-18§ 3409 ................................. 8-8§ 3413(i) .............................. 8-8§ 5301 et seq. .................... 15-3

TITLE 15

§ 77d ................................. 3-13§ 77e .................................... 3-2§ 77e(a) .............................. 3-13§ 77e(c) .............................. 3-13§ 77g(a) ................................ 2-5§ 77h-1 .............................. 2-37§ 77h-1(c)(1) ...................... 2-38§ 77h-1(f) ........................... 2-38§ 77h-1(g) .......................... 9-42§ 77h-1(g)(2) .................... 16-62§ 77l .................................... 2-3§ 77m .........................2-4, 15-6

§ 77q .................................... 3-2§ 77q(a) .............................. 3-13§ 77t .........................2-32, 2-42§ 77t(b) ...................15-3, 15-10§ 77t(d) ............................ 16-63§ 77t(d)(1) .......................... 2-33§ 77t(d)(2) .......................... 2-42§ 77t(e) .....................2-35, 2-36§ 77x .......... 3-3, 3-13, 4-8, 15-4§ 77yyy .............................. 15-4§ 78a et seq. ...................... 11-3§ 78a-21F(a) ..................... 18-68§ 78a-21F(a)(3) ................ 18-68§ 78a-21F(b) .................... 18-68§ 78a-21F(h)(1)(A) ........... 18-66§ 78a-21F(h)(1)(B)(i) ......... 18-67§ 78a-21F(h)(1)(B)(iii) ...... 18-67§ 78bbb .............................. 15-4§ 78c(a)(10) .......................... 3-5§ 78c(a)(13) .......................... 3-5§ 78c(a)(14) .......................... 3-5§ 78c(a)(34) .......................... 2-8§ 78d-5 .........................9-4, 9-5§ 78dd-1 .....................3-3, 14-5§ 78dd-1 et seq. ................. 14-3§ 78dd-1(a) ........................ 14-6§ 78dd-1(a)(3) .................. 14-18§ 78dd-1(b) ...................... 14-11§ 78dd-1(c)(1) .................. 14-12§ 78dd-1(c)(2)(A) .............. 14-13§ 78dd-1(f)(1)(A) ................ 14-8§ 78dd-1(f)(2) ........14-17, 14-19



§ 78dd-1(f)(3)(A) .............. 14-12§ 78dd-1(f)(3)(B) ............... 14-12§ 78dd-1(g) ......................... 14-6§ 78dd-2 ...................14-5, 14-6§ 78dd-2(a)(3) .................. 14-18§ 78dd-2(b) ...................... 14-11§ 78dd-2(c)(1) .................. 14-12§ 78dd-2(c)(2)(A) .............. 14-13§ 78dd-2(g)(1) .................. 14-15§ 78dd-2(g)(3) .................. 14-16§ 78dd-2(h)(2) .................. 14-19§ 78dd-2(h)(2)(A) ............... 14-8§ 78dd-2(h)(4)(A) ............. 14-12§ 78dd-2(h)(4)(B) .............. 14-12§ 78dd-2(i) ......................... 14-7§ 78dd-3 ............................ 14-5§ 78dd-3(a) ........................ 14-7§ 78dd-3(a)(3) .................. 14-18§ 78dd-3(b) ...................... 14-11§ 78dd-3(c)(1) .................. 14-12§ 78dd-3(c)(2)(A) .............. 14-13§ 78dd-3(e)(1) .................. 14-15§ 78dd-3(e)(2) .................. 14-16§ 78dd-3(f)(2)(A) ................ 14-8§ 78dd-3(f)(3) ................... 14-19§ 78dd-3(f)(4)(A) .............. 14-12§ 78dd-3(f)(4)(B) ............... 14-12§ 78f(m)(4) ....................... 18-72§ 78ff ..........................2-29, 3-3§ 78ff(a) ...................4-8, 14-15,

.......................14-16, 15-4§ 78ff(c)(1) ....................... 14-15§ 78ff(c)(2) ....................... 14-16§ 78ff(c)(3) ....................... 14-16§ 78i(e) ............................... 15-6§ 78j .................................... 2-6§ 78j-1 .............. 2-13, 5-5, 17-5§ 78j-1(a) ........................... 3-25§ 78j-1(b) .....................3-2, 3-4,

................... 3-5, 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 .................................. 14-6§ 78m .................................. 2-9§ 78m(a) .....................3-2, 3-11§ 78m(a)–(c) ......................... 2-9§ 78m(b) ........... 3-2, 3-11, 14-5§ 78m(b)(1) ........................ 2-10§ 78m(b)(2) ........................ 14-6§ 78m(b)(2)(A) ................... 14-5§ 78m(b)(2)(B) .................... 14-6§ 78n(e) ......................2-12, 3-8§ 78o(b)(4)(E) ..................... 2-40§ 78o(c)(4) .......................... 2-39§ 78o(d) ............ 2-11, 3-3, 14-6§ 78o-4(c)(4) ...................... 15-3§ 78o-4(c)(6) ...................... 15-3§ 78o-6(a) ........................ 18-59§ 78p(b) ............................. 15-7§ 78r(c) .............................. 15-7§ 78t(e) .....................2-29, 2-30§ 78t-1(b)(4) ....................... 15-7§ 78u(a)(1) ......................... 15-3§ 78u(c) .............................. 9-28§ 78u(d) ............................. 2-32§ 78u(d)(1) ..............15-3, 15-10§ 78u(d)(2) ...............2-35, 2-36,

.......................15-3, 16-64§ 78u(d)(3) ....2-42, 16-62, 16-63§ 78u(d)(3)(A) .................... 2-33§ 78u-1(a)(1) ...................... 15-3§ 78u-1(a)(2) .................... 16-62§ 78u-2(a) .......................... 15-3§ 78u-2(a)(1) ...................... 2-40§ 78u-2(a)(2) ...................... 2-40§ 78u-2(a)(3) ...................... 2-41§ 78u-2(a)(4) ...................... 2-41§ 78u-2(b) ........................ 16-62§ 78u-2(c) .......................... 2-40§ 78u-2(e) .......................... 15-3§ 78u-3 .............................. 2-37

T–32


§ 78u-3(a) .......................... 15-3§ 78u-3(c)(1) ...................... 2-38§ 78u-3(c)(3) .................... 16-53§ 78u-3(c)(3)(A)(i) ............ 18-44§ 78u-3(c)(3)(A)(ii) ........... 18-46§ 78u-3(c)(3)(A)(iii) .......... 18-46§ 78u-3(c)(3)(A)(iv) ........... 18-46§ 78u-3(c)(3)(B) ................ 18-46§ 78u-3(f) ........................... 2-38§ 78u-4(b)(1) .................... 15-27§ 78u-4(b)(3)(B) ................ 15-28§ 78u-6(h)(1)(A) ............... 18-67§ 78u-6(h)(1)(C) ............... 18-67§ 78w ................................... 2-8§ 78y(a)(1) ...............2-38, 15-29§ 80a-1 et seq. ................... 11-3§ 80a-9(b)(4)(A) .................. 2-41§ 80a-9(d)(1)(A) .................. 2-40§ 80a-9(d)(1)(B) .................. 2-40§ 80a-9(d)(3) ...................... 2-40§ 80a-9(f) ........................... 2-37§ 80a-9(f)(3)(a) ................... 2-38§ 80a-41(e)(1) ..................... 2-33§ 80a-41(e)(2) ..................... 2-42§ 80b-1 et seq. ................... 11-4§ 80b-2(a)(11) .................... 2-15§ 80b-3(i)(1)(A) .................. 2-40§ 80b-3(i)(1)(B) ................... 2-40§ 80b-3(i)(1)(C) .................. 2-41§ 80b-3(i)(1)(D) .................. 2-41§ 80b-3(i)(3) ....................... 2-40§ 80b-3(k) .......................... 2-37§ 80b-3(k)(3)(a) .................. 2-38§ 80b-6 .............................. 2-15§ 80b-9(e)(1) ...................... 2-33§ 80b-9(e)(2) ...................... 2-42§ 1519 ......................3-24, 3-25§ 1520 ............................... 3-25§ 1681 et seq. .......18-27, 18-28§ 1681a(d)(1) ................... 18-29§ 1681a(e) ........................ 18-30§ 1681a(y)(1)(B) ............... 18-30§ 1681b(b)(1) ................... 18-33§ 1681b(b)(2)(A) ............... 18-30§ 1681b(b)(3) ................... 18-32

§ 1681b(b)(3)(A) ............... 18-32§ 1681b(b)(3)(B) ............... 18-32§ 1681d(b) ....................... 18-32§ 1681h(e) ....................... 18-33§ 1681m(a) ...................... 18-33§ 1681n ........................... 18-33§ 1681o ........................... 18-33§ 1681p ........................... 18-34§ 1681q ............................ 18-33§ 1681s ............................ 18-33§ 6801–21 ........................ 18-27§ 7201 et seq. ...........5-5, 16-27§ 7202 ................................. 5-5§ 7211(e)(6) ......................... 5-7§ 7215 ................................. 5-8§ 7217(d)(3) ......................... 5-7§ 7241 ................................. 5-6§ 7241(a)(5)(B) ................... 6-23§ 7242(a) ........................... 17-4§ 7243 ............................... 2-43§ 7244 ............................... 2-13§ 7245 ..........................5-8, 6-4§ 7262 ................................. 5-7

TITLE 18

§ 2 ................................3-2, 4-8§ 20 ................................... 3-20§ 371 ....... 3-2, 3-15, 4-8, 14-13§ 401 ........................8-9, 16-31§ 641 ................................. 3-26§ 1001 .....................3-12, 3-21,

................. 4-8, 6-4, 16-24§ 1028 ............................. 18-27§ 1030 ............................. 18-27§ 1039 ............................. 18-27§ 1039(a)–(c) .................... 18-27§ 1039(h) ......................... 18-27§ 1341 ....... 3-2, 3-16, 3-20, 4-8§ 1343 ............. 3-2, 3-16, 3-20,

............. 4-8, 18-27, 18-28§ 1344 ... 3-2, 3-16, 3-20, 16-65§ 1346 ......................3-17, 3-18§ 1348 ............. 3-2, 3-16, 3-20,

...... 3-21, 4-8, 15-4, 16-64§ 1349 ................................. 4-8



§ 1350 ..... 3-2, 3-16, 3-20, 3-21§ 1350(a) ........................... 3-21§ 1350(b) ........................... 3-21§ 1350(c) ...................3-21, 6-24§ 1503 ....... 3-2, 3-22, 3-24, 4-8§ 1505 .............. 3-2, 3-22, 3-24§ 1506 ............................. 16-25§ 1507 ............................. 16-25§ 1510 ............................... 15-4§ 1512 .......................3-2, 3-22,

............... 3-24, 4-8, 16-25§ 1512(b) .... 3-24, 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§ 1512(c)(2) ....................... 6-19§ 1512(f) .......................... 16-26§ 1513 ......................5-9, 16-25§ 1513(e) ...............18-52, 18-65§ 1514(A)(c)(1) ................. 18-64§ 1514(A)(c)(2) ................. 18-64§ 1514A ....... 5-9, 18-53, 18-54,

........ 18-55, 18-60, 18-61,

.....................18-62, 18-63§ 1514A(a) ...................... 18-53,

.....................18-54, 18-61§ 1514A(a)(1) ................... 18-59§ 1514A(a)(1)(A) .............. 18-59§ 1514A(a)(1)(B) ............... 18-59§ 1514A(a)(1)(C) .............. 18-59§ 1514A(a)(1)–(2) ............. 18-52§ 1514A(a)(2) ................... 18-59§ 1514A(b) ....................... 18-52§ 1514A(b)(2)(B) .............. 18-65§ 1514A(c) ............18-52, 18-65§ 1514A(e) ....................... 18-52§ 1515(c) .......................... 16-25§ 1516 ............................. 16-25§ 1519 ............... 3-2, 3-22, 4-8,

........... 6-11, 16-25, 16-26§ 1520 ............ 3-2, 3-22, 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§ 1956 ................................. 4-8§ 1961–1968 ........................ 4-8§ 1962 et seq. .................. 14-16§ 1975 ................................. 4-8§ 2510 et seq. .................. 18-22§ 2510–22 .......................... 18-5§ 2510–2712 .................... 18-27§ 2510(2) ........................... 18-7§ 2510(4) ........................... 18-5§ 2510(5)(a) ....................... 18-9§ 2510(17) ......................... 18-7§ 2511(1) ........................... 18-5§ 2511(2)(a)(i) .................. 18-11§ 2511(2)(d) ....................... 18-8§ 2511(4) ........................... 18-7§ 2515 ............................... 8-12§ 2520(a) ........................... 18-7§ 2520(c) ............................ 18-7§ 2701–12 .......................... 18-5§ 2701(a) ................18-7, 18-12§ 2701(c)(1) ..................... 18-11§ 2711 ............................... 18-7§ 3121–27 .......................... 18-5§ 3161(b) ......................... 16-55§ 3282 ............................. 14-13§ 3282(a) ........................... 15-7§ 3292 ............................. 14-13§ 3331 ................................. 8-6§ 3500 ....................6-21, 16-45§ 3500(b) ............................. 8-8§ 3553(f) ............................ 8-16§ 3571 ............................... 18-7§ 3571(b) ......................... 14-16§ 3571(b)(3) ..................... 16-65§ 3571(d) ......................... 16-65§ 3663(a)(1)(A) ................. 16-65§ 3663(a)(1)(B)(II) ............ 16-65

T–34


§ 6002 .....................8-19, 8-20,.....................16-42, 16-43

§ 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 ...................2-34, 14-14,

............. 15-3, 15-7, 16-61

TITLE 29

§ 151 et seq. .................... 18-38§ 152(3) ........................... 18-38§ 157 ............................... 18-19§ 2001 et seq. .................. 18-26§ 2002 ............................. 18-26§ 2006 ............................. 18-26§ 2006(d) ......................... 18-26§ 2008 ............................. 18-26§ 2009 ............................. 18-26

TITLE 42

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

State CodesArizonaAriz. Rev. Stat.

§ 44-1376 ........................................................................... 18-28

ArkansasArk. Code Ann.

§ 11-2-124 .......................................................................... 18-20

CaliforniaCal. Civ. Code

§§ 1786.2 ............................................................................ 18-34Cal. Const. art. 1, § 1 ............................................................... 18-12Cal. Corp. Code

§ 317(b) .............................................................................. 18-43§ 317(d) .............................................................................. 18-42

Cal. Lab. Code§ 980 .................................................................................. 18-20§ 2802 ................................................................................ 18-42

Cal. Penal Code§ 638 .................................................................................. 18-28

ColoradoColo. Rev. Stat.

§ 8-2-127 ............................................................................ 18-20§ 18-13-125 ........................................................................ 18-28



ConnecticutConn. Gen. Stat.

§ 16-247u ........................................................................... 18-28§ 31-40x ............................................................................. 18-20§ 31-48D ............................................................................ 18-12§ 31-51q ............................................................................. 18-12

DelawareDel. Code Ann. tit. 8

§ 145(a) ...................................................................18-42, 18-43§ 145(c) ............................................................................... 18-42§ 145(d) .............................................................................. 18-43§ 145(e) ............................................................................... 18-44

Del. Code Ann. tit. 19§ 705 .................................................................................. 18-12§ 709A ................................................................................ 18-20

FloridaFla. Stat.

§ 817.484 ........................................................................... 18-28

GeorgiaGa. Code

§ 46-5-230 et seq. ............................................................... 18-28

Guam22 Guam Code Ann. § 3501 ..................................................... 18-20

Illinois5 ILCS §§ 430/1-1–430/99-99 ................................................... 18-64720 Ill. Comp. Stat. 5/16-30 ..................................................... 18-28

LouisianaLa. Rev. Stat. Ann.

§ 51.1951–51.1955 ............................................................. 18-20

Maine26 Me. Rev. Stat.

§ 616–619 ........................................................................... 18-20Me. Rev. Stat. Ann. tit. 10

§ 1496-C ............................................................................ 18-28

MarylandMd. Code Ann., Crim. Law

§ 7-304 ............................................................................... 18-28

T–36


Md. Code Ann., Lab. & Empl.§ 3-712 ............................................................................... 18-20

MassachusettsMass. Gen. Laws ch. 266

§ 37E(b) .............................................................................. 18-28

MichiganMich. Comp. Laws

§ 37.271–37.278 ................................................................. 18-20§ 445.65a ............................................................................ 18-28

MontanaMont. Code Ann.

§ 39-2-307 .......................................................................... 18-20§ 45-6-332 .......................................................................... 18-28

NebraskaNeb. Rev. Stat. Ann.

§§ 48-3501-3511 ................................................................ 18-20

NevadaNev. Rev. Stat.

§ 613.135 ........................................................................... 18-20

New HampshireN.H. Rev. Stat. Ann.

§ 275.71–275.75 ................................................................. 18-20

New JerseyN.J. Stat. Ann.

§ 34:6B-5–10 ...................................................................... 18-20

New MexicoN.M. Stat. Ann.

§ 50-4-34 ............................................................................ 18-20

New YorkN.Y. Bus. Corp. Law

§ 721 .................................................................................. 18-43§ 722 .................................................................................. 18-43§ 723(a) .............................................................................. 18-43§ 723(c) ............................................................................... 18-43§ 724(c) ............................................................................... 18-43§ 725(a) .............................................................................. 18-43



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 ............................................................................. 18-28art. 23A ................................................................................ 5-38

N.Y. Martin Act .......................................................... 5-3, 5-38, 5-39N.Y. Penal Law

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

North CarolinaN.C. Gen. Stat. Ann.

§ 14-113.31 ........................................................................ 18-28

North DakotaN.D. Cent. Code

§ 12.1-23-11 ....................................................................... 18-28

Oklahoma40 Okla. Stat. Ann.

§ 173.2 ............................................................................... 18-20Okla. Stat. tit. 21

§ 1742.1–1742.4 ................................................................. 18-28

OregonOr. Rev. Stat.

§ 659A.330 ......................................................................... 18-20

Rhode IslandR.I. Gen. Laws

§ 28-56-1–28-56-6 .............................................................. 18-20§ 39-2-24 ............................................................................ 18-28

TennesseeTenn. Code Ann.

§ 48-18-506 ........................................................................ 18-44§ 50-1-1001–50-1-1004 ...................................................... 18-20

TexasTex. Bus. Org. Code tit. 1

§ 8.001 et seq. .................................................................... 18-42§ 8.051 ............................................................................... 18-42§ 8.052 ............................................................................... 18-44§ 8.052(c) ............................................................................ 18-44

T–38


§ 8.101 ............................................................................... 18-43§ 8.104 ............................................................................... 18-44

Tex. Penal Code Ann.§ 32.51 ............................................................................... 18-28

UtahUtah Code Ann.

§ 34-48-201 ........................................................................ 18-20

VirginiaVa. Code Ann.

§ 18.2-152.17 ..................................................................... 18-28§ 40.1-28.7:5 ...................................................................... 18-20

WashingtonWash. Rev. Code

§ 9.26A.140 ........................................................................ 18-28§ 49.44.200 ........................................................................ 18-20

West VirginiaW. Va. Code

§ 21-5G-1 ........................................................................... 18-20

WisconsinWis. Stat.

§ 100.525 ........................................................................... 18-28§ 995.55 ............................................................................. 18-20

CODE OF FEDERAL REGULATIONSTITLE 17

§ 200.30-4(a)(13) ............... 16-6§ 200.83 ..... 9-22, 15-11, 16-35§ 200.83(d) ...................... 15-11§ 201 ........................9-40, 9-45§ 201.100 et seq. .............. 9-40§ 201.102(e) ....................... 9-36§ 201.222 .......................... 15-9§ 201.230–.234 .................. 15-9§ 202.5 ............................ 15-33§ 202.5(a) .............15-10, 15-14§ 202.5(b) ........................ 15-11§ 202.5(c) ..................9-30, 9-32§ 202.5(f) ........................... 15-4

§ 202.12 ............................ 10-8§ 203.2 .............................. 9-22§ 203.6 ............................ 16-45§ 203.7(a) .......................... 9-10§ 203.7(c) ........................... 9-26§ 203.7(e) ........................... 9-21§ 205.3(b) ........................ 16-27§ 205.3(b)(1) ........................ 5-8§ 205.3(b)(2) ........................ 5-8§ 205.3(b)(3) ........................ 5-9§ 205.3(b)(4) ........................ 5-9§ 205.3(c)(1) ........................ 5-8§ 229.103 .......................... 6-23§ 229.303 .......................... 6-23



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

...........................3-5, 15-6§ 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) ............. 18-66§ 240.21F-2(b) ................. 18-67§ 240.21F-2(b)(iii) ............ 18-68§ 240.21F-3 ..................... 18-68§ 240.21F-4(a)(1) ............. 18-68§ 240.21F-4(a)(3) ............. 18-69§ 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 ............................. 14-21pt. 249 ............................. 14-21

TITLE 28

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

TITLE 29

§ 801.12(b) ...................... 18-26§ 1980.101 ...................... 18-52§ 1985.103 ...................... 18-52§ 1985.104 ...................... 18-52

SEC MATERIALS

Securities Act Releases5310 (1972) ................................................................................. 9-329009 (Mar. 3, 2009), Adjustments to Civil Monetary

Penalty Amounts .................................................................. 2-429192 (Mar. 1, 2011), Rajat K. Gupta ........................................... 9-42

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

CEO with Fraud for Improper Stock OptionsBackdating; Commission Also SettlesClaims Against KLA-Tencor ............................................... 10-18

2010-252 (Dec. 20, 2010), SEC Charges Former Carter ’sExecutive with Fraud and Insider Trading .................9-14, 10-20

10,281 (Jan. 18, 2017), Orthofix Int’l N.V. ............................... 14-4044,969 (Oct. 23, 2001), Report of Investigation Pursuant to

Section 21(a) of the Securities ExchangeAct of 1934 and Commission Statement on theRelationship of Cooperation to Agency EnforcementDecisions .................................... 5-11, 5-12, 5-13, 6-5, 6-6, 6-8,................................................. 6-9, 6-10, 6-29, 9-12, 10-5, 10-6,.................................... 10-11, 15-16, 15-21, 16-48, 18-36, 18-49

44,970 (Oct. 23, 2001), In re Gisela de Leon-Meredith .............. 9-1245,730 (Apr. 11, 2002), SEC v. Xerox Corp. ............................. 15-17

T–40


50,978 (Jan. 6, 2005), In re Monsanto Co. ............................... 15-1753,049 (Jan. 4, 2006), In re Applix, Inc. ..................................... 10-754,165 (July 24, 2006), Commission Guidance Regarding

Client Commission Practices Under Section 28(e) of theSecurities Exchange Act of 1934 ......................................... 13-20

58,592 (Sept. 18, 2008), Emergency Order Pursuant toSection 12(k)(2) of the Securities Exchange Act of 1934Taking Temporary Action to Respond toMarket Developments ........................................................ 13-20

59,449 (Mar. 3, 2009), Adjustments to Civil MonetaryPenalty Amounts .................................................................. 2-42

62,690 ......................................................................................... 16-663,995 (Mar. 1, 2011), Rajat K. Gupta ........................................ 9-4264,123 (Mar. 24, 2011), In the Matter of Ball Corp. ................. 14-4064,380 (May 3, 2011), In the Matter of

Rockwell Automation, Inc. ................................................. 14-3972,393 (June 16, 2014), In re Paradigm Capital

Management, Inc., Order InstitutingCease-and-Desist Proceedings Pursuant toSection 21C of the Securities Exchange Act of 1934and Section 203(k) of the Investment AdvisersAct of 1940, Making Findings, and Imposing aCease-and-Desist Order .......................................................... 9-7

73,174 (Sept. 22, 2014), In re the Claim for Award inconnection with Order Determining WhistleblowerAward Claim ...................................................................9-6, 9-7

73,294 (Oct. 3, 2014), Order Instituting PublicAdministrative Proceedings Pursuant to Section 4Cof the Securities Exchange Act of 1934 and Rule 102(e)of the Commission’s Rules of Practice, Making Findings,and Imposing Remedial Sanctions ........................................ 2-25

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

74,619 (Apr. 1, 2015), In re KBR, Inc., Order InstitutingCease-and-Desist Proceedings Pursuant to Section 21Cof the Securities Exchange Act of 1934, Making Findings,and Imposing a Cease-and-Desist Order ....................... 9-7, 18-71

78,025 (June 9, 2016), In re the Claim for Award inconnection with [Redacted], Order DeterminingWhistleblower Award Claim ................................................... 9-7

78,319 (Sept. 27, 2016), Amendments to the Commission’sRules of Practice ................................................ 9-40, 9-41, 9-45



78,528 (Aug. 10, 2016), In re BlueLinx Holdings Inc.,Order Instituting Cease-and-Desist ProceedingsPursuant to Section 21C of the Securities ExchangeAct of 1934 ......................................................................... 18-71

79,815 (Jan. 18, 2017) ............................................................... 14-4079,828 (Jan. 18, 2017), Orthofix Int’l N.V. ............................... 14-39

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, 2-25, 3-2, 3-4,

....3-5, 3-6, 3-7, 3-8, 3-12,

..... 3-13, 3-14, 3-19, 3-21,

....... 3-25, 4-8, 6-23, 6-24,

............. 14-40, 15-6, 15-7

12b-20 ........................2-5, 6-2314a-9 ................................... 2-714e-3 .................................. 2-1314e-3(a) ................................ 3-815b9-1 ............................... 12-215b9-2 ............................... 12-215c3-5 .............................. 11-2321F-17 ..................18-71, 18-7221F-17(a) ......................... 18-7224c-1 .................................. 13-4

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

with $3.8 Billion Fraud ............................................16-53, 18-4517,594 (June 28, 2002) .............................................................. 18-4518,929 (Oct. 13, 2004) .............................................................. 13-1719,259 (June 9, 2005) ................................................................ 13-1719,517 (Jan. 3, 2006), SEC Charges Six Former Officers

of Putnam Fiduciary Trust Company with DefraudingClients 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 .......................................................... 10-1720,174 (June 29, 2007), SEC Settles Charges

Against Former Portland Steel Executive forAnti-Bribery Statute Violations ........................................... 14-43

20,212 (July 26, 2007), SEC v. Cardinal Health, Inc. ................. 10-320,397 (Dec. 13, 2007), SEC Charges Former

Chairman/CEO of Schnitzer Steel for AuthorizingCash Bribes to Foreign Officials ......................................... 14-43

20,585 (May 19, 2008) .............................................................. 13-1620,654 (July 25, 2008) ............................................................... 13-16

T–42


20,718 (Sept. 15, 2008), SEC v. Taher Suterwalla ..................... 13-1620,829 (Dec. 15, 2008), SEC v. Siemens Aktiengesellschaft ..... 13-1820,889 (Feb. 9, 2009), SEC v. Bernard L. Madoff ........................ 11-420,897A (Feb. 11, 2009), SEC v. Halliburton Co. and KBR ...... 13-1921,075 (June 9, 2009) ................................................................ 13-1621,162 (July 31, 2009), SEC v.

Nature’s Sunshine Prods., Inc. ........................................... 14-4021,190 (Aug. 28, 2009), SEC v. Oscar H. Meza .............14-38, 14-4321,395 (Jan. 26, 2010), SEC v. E. Delta Res. Corp. .................. 13-1821,454 (Mar. 18, 2010), SEC v. Innospec, Inc. .......................... 14-4721,700 (Oct. 19, 2010), SEC v. E. Delta Res. Corp. .................. 13-1821,889 (Mar. 18, 2011), SEC v. IBM ......................................... 14-3922,140 (Oct. 26, 2011), SEC Files Insider Trading Charges

Against Rajat Gupta, Brings New Charges AgainstRaj Rajaratnam ..................................................................... 2-39

22,190 (Dec. 13, 2011), SEC v. Sharef ...................................... 13-1922,298 (Mar. 19, 2012), SEC Credits Former AXA

Rosenberg Executive for Substantial Cooperationduring Investigation ......................................... 9-14, 9-15, 16-51

23,760 (Feb. 28, 2017), SEC Freezes Assets ofUnknown Traders in Supsected InsiderTrading Ahead of Fortress Acquisition ................................ 18-46



table of authorities...table of authorities cases (includes nlrb cases) a aaron v. sec .....2-5, 2-6...

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