Securities Law Case Briefs
Securities law regulates the issuance, trading, and disclosure of financial securities to protect investors and maintain fair markets. The course covers the Securities Act of 1933, the Securities Exchange Act of 1934, SEC enforcement, insider trading, and private rights of action under Rule 10b-5.
The cases below include essential decisions like SEC v. W.J. Howey Co. (definition of a security), Basic Inc. v. Levinson (fraud-on-the-market theory), and Dirks v. SEC (tipper-tippee liability). You will also find cases on registration requirements, corporate disclosure obligations, and the evolving scope of securities fraud.
Each brief is formatted for law-school study to help you prepare for class, build outlines, or review before exams.
Bakerman v. A.E. Ludwig & Co.
Burton v. RBS Securities
Culbertson v. United States
Dura Pharmaceuticals, Inc. v. Broudo
Escott v. BarChris Construction Corp.
Farkas v. Williams
Fisher v. State of Oklahoma
Friedman v. Klenk
In re WorldCom, Inc. Securities Litigation
Klein v. P. William & Co.
Lowe v. SEC
Peters v. United States
Santos v. State
Sec
SEC v. Aegis Capital Corp.
SEC v. Allen
SEC v. American International Group, Inc.
SEC v. Bainbridge
SEC v. Bank of America Corp.
SEC v. Baptiste
SEC v. Bauman
SEC v. Benistar 419 Plan
SEC v. Berenbaum
SEC v. Bernardo
SEC v. Blockbuster, Inc.
SEC v. Candelaria
SEC v. Carter
SEC v. Chapman
SEC v. Chester
SEC v. Citigroup Global Markets Inc.
SEC v. Collins
SEC v. Collins & Aikman Corp.
SEC v. Communications Workers of America
SEC v. Daugherty
SEC v. Desai
SEC v. Dourakos
SEC v. Drexel Burnham Lambert Inc.
SEC v. Dunn
SEC v. Evans
SEC v. Firestone
SEC v. Fleming
SEC v. Franco
SEC v. Fuchs
SEC v. Galleon Management, LP
SEC v. Grant
SEC v. Greene
SEC v. Heller
SEC v. Highland Capital Management
SEC v. Homestore.com, Inc.
SEC v. Interlink
SEC v. Kelly
SEC v. KPMG
SEC v. Langston
SEC v. Lauer
SEC v. Lawrence
SEC v. Lee
SEC v. Lopez
SEC v. Madanes
SEC v. Marcovitz
SEC v. McKee
SEC v. Miller
SEC v. Morgan Keegan & Co.
SEC v. Morris
SEC v. Next Financial Services Inc.
SEC v. Palantir Technologies, Inc.
SEC v. Patel
SEC v. Perpetual Energy, Inc.
SEC v. Ramirez
SEC v. Reinhold
SEC v. Republic Nat
SEC v. Resources
SEC v. Ridge
SEC v. Robles
SEC v. Seibert
SEC v. Simmons
SEC v. Street
SEC v. Tawil
SEC v. Texas Gulf Sulphur Co.
SEC v. Tullis
SEC v. Virtus
SEC v. Ward
SEC v. White
SEC v. Wilkins
SEC v. Wills
SEC v. Zeller
Securities and Exchange Commission v. Capital Gains Research Bureau, Inc.
Securities and Exchange Commission v. Cavanagh
Securities and Exchange Commission v. D.C. Computer Corp.
Securities and Exchange Commission v. Ralston Purina Co.
Tebow v. SEC
Tellabs, Inc. v. Makor Issues & Rights, Ltd.
Transamerica Mortgage Advisors, Inc. v. Lewis
TSC Industries, Inc. v. Northway, Inc.
United States v. McGinnis
Wharf (Holdings) Ltd. v. United International Holdings, Inc.