Legal Opinion
Securities & Exchange Commission v. Zandford
Supreme Court of the United States
Decided June 3, 2002No. 01-147PublishedCited by 402 opinions
1Opinion of the CourtJustice Stevens
The Securities and Exchange Commission (SEC) filed a civil complaint alleging that a stockbroker violated both § 10(b) of the Securities Exchange Act of 1934, 48 Stat. 891, as amended, 15 U. S. C. § 78j(b), and the SEC’s Rule 10b-5, by selling his customer’s securities and using the proceeds for his own benefit without the customer’s knowledge or consent. The question presented is whether the alleged fraudulent conduct was "in connection with the purchase or sale of any security” within the meaning of the statute and the Rule.
I
Between 1987 and 1991, respondent was employed as a securities…
2Cases cited17 opinions
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Affiliated Ute Citizens of Utah v. United StatesSupreme Court of the United States · 1972
- Santa Fe Industries, Inc. v. GreenSupreme Court of the United States · 1977
- Chiarella v. United StatesSupreme Court of the United States · 1980
- Superintendent of Insurance of New York v. Bankers Life & Casualty Co.Supreme Court of the United States · 1971
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3Cited by402 opinions
- Morrison v. National Australia Bank Ltd.Supreme Court of the United States · 2010
- Theodore C. Swartz v. Kpmg Llp, and Presidio Advisory Services Inc. Deutsche Bank Ag Deutsche Bank Securities, Inc.Court of Appeals for the Ninth Circuit · 2007
- Stoneridge Investment Partners, LLC v. Scientific-Atlanta, Inc.Supreme Court of the United States · 2008
- In Re Oracle Corp. Securities LitigationCourt of Appeals for the Ninth Circuit · 2010
- Bell Atlantic Corp. v. TwomblySupreme Court of the United States · 2007
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