Legal Opinion
Securities & Exchange Commission v. Thompson
Court of Appeals for the Tenth Circuit
Decided October 4, 2013No. 11-4182PublishedCited by 83 opinions
1Opinion of the Court
EBEL, Circuit Judge.
This appeal arises out of a civil-enforcement action brought by the Securities and Exchange Commission (“SEC”) against Defendant-Appellant Ralph W. Thompson, Jr., in connection with an alleged Ponzi scheme Thompson ran through his company, Novus Technologies, L.L.C. (“Novus”). The district court granted summary judgment in the SEC’s favor on several issues, including the issue of whether the instruments Novus sold investors were “securities,” as that term is defined under the Securities Act of 1933 and the Securities Exchange Act of 1934 (collectively, the “Securities…
2Cases cited33 opinions
- Anderson v. Liberty Lobby, Inc.Supreme Court of the United States · 1986
- Celotex Corp. v. Catrett, Administratrix of the Estate of CatrettSupreme Court of the United States · 1986
- Adler v. Wal-Mart Stores, Inc.Court of Appeals for the Tenth Circuit · 1998
- Securities and Exchange Commission v. W. J. Howey Co.Supreme Court of the United States · 1946
- Tcherepnin v. KnightSupreme Court of the United States · 1967
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3Cited by83 opinions
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- SEC v. GenAudio Inc.Court of Appeals for the Tenth Circuit · 2022
- Foxfield Villa Associates v. RobbenCourt of Appeals for the Tenth Circuit · 2020
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