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· 9/29/2003

Russell Ponce v. Securities & Exchange Commission

Citations

  • 345 F.3d 722
  • 2003 Cal. Daily Op. Serv. 8727
  • 2003 U.S. App. LEXIS 19946
  • 2003 WL 22227856

How courts have described this case

Verbatim parenthetical descriptions written by other courts when citing this decision. Ranked by citation-network relevance.

  • “If ... the evidence is open to more than one interpretation, we are required to uphold the SEC’s finding.”
  • scienter is established where defendants make “statements that they know, or are reckless in not knowing, are false”
  • SEC must prove the same elements in order to prevail on a claim that the defendant aided and abetted an issuer’s violation of Section 13(a) by causing the issuer to file false annual and quarterly reports

Source: CourtListener parenthetical corpus (CC0).

Judges: Ferguson, Brunetti, Tashima

Read full opinion on CourtListener

Sourced from CourtListener / Free Law Project (CC0).

This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.