Securities & Exchange Commission v. Apuzzo

How courts have described this case

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

• explaining that the SEC sufficiently pleaded the substantial assistance element by alleging that defendant “knew ... that the three-party transaction was designed to” facilitate improper conduct (alteration in original)
• stating that the mere inaction “on the part of the alleged aider and abetter ordinarily should not be treated as substantial assistance, except when it was designed to intentionally to aid the primary fraud.”
• listing \'knowledge' of [the primary] violation\ as the second element of the offense (quoting, in part, SEC v. DiBella, 587 F.3d 553, 566 (2d Cir. 2009))
• finding “a high degree of knowledge may lessen the SEC’s burden in proving substantial assistance, just as a high degree of substantial assistance may lessen the SEC’s burden in proving scienter.”
• rejecting defendant’s invocation of “proximate cause” tort principle in SEC enforcement action
• stating elements of a claim for aider and abettor in a securities civil enforcement action as (a) existence of securities law violation by primary party, (b) knowledge of this violation on the part of the aider and abettors, and (c

Source: CourtListener parenthetical corpus (CC0).

Cited by

38 cases in this archive cite this case; the 20 most cited are listed.

• United States v. Vilar
  Second Circuit· 2013-08-30· cited 162×
• Twitter, Inc. v. Taamneh
  Supreme Court· 2023-05-18· cited 81×
• Calle Gracey v. J.P. Morgan Chase & Co.
  Second Circuit· 2013-09-23· cited 65×
• U.S. Securities and Exchange Commission v. Big Apple Consulting USA, Inc.
  Eleventh Circuit· 2015-04-09· cited 63×
• Federal Defenders of New York, Inc. v. Federal Bureau of Prisons
  Second Circuit· 2020-03-20· cited 43×
• Securities & Exchange Commission v. Teo
  Third Circuit· 2014-02-10· cited 38×
• Deangelis v. Corzine
  S.D. New York· 2014-02-11· cited 35×
• United States Securities & Exchange Commission v. Wey
  S.D. New York· 2017-03-27· cited 34×
• Securities & Exchange Commission v. China Northeast Petroleum Holdings Ltd.
  S.D. New York· 2014-03-27· cited 29×
• Securities & Exchange Commission v. Goldstone
  D. New Mexico· 2013-07-08· cited 24×
• Gonnella v. Securities and Exchange Commission
  Second Circuit· 2020-04-02· cited 23×
• Consumer Fin. Prot. Bureau v. RD Legal Funding, LLC
  S.D. Illinois· 2018-06-21· cited 22×
• Securities & Exchange Commission v. Wyly
  S.D. New York· 2014-09-25· cited 19×
• U.S. Securities & Exchange Commission v. Syron
  S.D. New York· 2013-03-28· cited 19×
• Securities and Exchange Commission v. Greene
  District of Columbia· 2012-12-19· cited 18×
• New York v. United Parcel Service, Inc.
  Second Circuit· 2019-11-07· cited 17×
• Securities & Exchange Commission v. StratoComm Corp.
  N.D. New York· 2014-02-19· cited 14×
• Metal Lathers Local 46 Pension Fund v. River Avenue Contracting Corp.
  S.D. New York· 2013-07-22· cited 12×
• Securities v. Lek Securities Corp.
  S.D. New York· 2017-08-25· cited 10×
• Dexia SA/NV v. Bear, Stearns & Co.
  S.D. New York· 2013-02-27· cited 10×

Cites

22 cases in this archive are cited by this case; the 20 most cited are listed.

• Ashcroft v. Iqbal
  Supreme Court· 2009-05-18· cited 149,772×
• Chambers v. Time Warner, Inc.
  Second Circuit· 2002-02-21· cited 4,118×
• Dura Pharmaceuticals, Inc. v. Broudo
  Supreme Court· 2005-04-19· cited 2,236×
• Central Bank of Denver, N. A. v. First Interstate Bank of Denver, N. A.
  Supreme Court· 1994-04-19· cited 1,685×
• Derdiarian v. Felix Contracting Corp.
  New York Court of Appeals· 1980-11-20· cited 1,409×
• Morrison v. National Australia Bank Ltd.
  Supreme Court· 2010-06-24· cited 1,211×
• Nye & Nissen v. United States
  Supreme Court· 1949-05-31· cited 977×
• Stoneridge Investment Partners, LLC v. Scientific-Atlanta, Inc.
  Supreme Court· 2008-01-15· cited 943×
• ECA, Local 134 IBEW Joint Pension Trust of Chicago v. JP Morgan Chase Co.
  Second Circuit· 2009-01-21· cited 674×
• United States v. Peoni
  Second Circuit· 1938-12-12· cited 651×
• Fed. Sec. L. Rep. P 91,922 James Bloor v. Carro, Spanbock, Londin, Rodman & Fass
  Second Circuit· 1985-01-21· cited 289×
• Armstrong v. McAlpin
  Second Circuit· 1983-01-24· cited 272×
• Sirota v. Solitron Devices, Inc.
  Second Circuit· 1982-02-19· cited 258×
• Litwin v. Blackstone Group, L.P.
  Second Circuit· 2011-02-10· cited 220×
• Iit, An International Investment Trust v. Bernard Cornfeld
  Second Circuit· 1980-03-17· cited 179×
• Fed. Sec. L. Rep. P 96,916 Edwards & Hanly v. Wells Fargo Securities Clearance Corporation
  Second Circuit· 1979-06-27· cited 120×
• Securities & Exchange Commission v. DiBella
  Second Circuit· 2009-11-25· cited 108×
• Eleanor M. Stagl v. Delta Airlines, Inc.
  Second Circuit· 1995-04-17· cited 102×
• Securities & Exchange Commission v. KPMG LLP
  S.D. New York· 2006-01-13· cited 54×
• United States v. Ogando
  Second Circuit· 2008-10-20· cited 37×

Other cases named Securities & Exchange Commission v. Apuzzo

2 other CourtListener records share this case name.

• Securities & Exchange Commission v. Apuzzo
  D. Connecticut· 2010-12-20· cited 7×
• Securities & Exchange Commission v. Apuzzo
  D. Connecticut· 2014-03-31