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Apuzzo v. Securities and Exchange Commission

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Petition for certiorari denied on June 24, 2013
Docket No. Op. Below Argument Opinion Vote Author Term
12-1118 2d Cir. N/A N/A N/A N/A OT 2012

Issue: Whether, to satisfy the “substantial assistance” requirement of Section 20(e) of the Securities Exchange Act, which authorizes the Securities and Exchange Commission to bring civil aiding-and-abetting claims, the SEC must allege and prove that the defendant’s conduct was a proximate cause of the primary violation.

DateProceedings and Orders (key to color coding)
Jan 18 2013Application (12A725) to extend the time to file a petition for a writ of certiorari from February 11, 2013 to March 13, 2013, submitted to Justice Ginsburg.
Jan 18 2013Application (12A725) granted by Justice Ginsburg extending the time to file until March 13, 2013.
Mar 13 2013Petition for a writ of certiorari filed. (Response due April 15, 2013)
Apr 11 2013Order extending time to file response to petition to and including May 15, 2013.
Apr 30 2013Order further extending time to file response to petition to and including May 24, 2013.
May 24 2013Brief of respondent Securities and Exchange Commission in opposition filed.
Jun 3 2013Reply of petitioner Joseph F. Apuzzo filed.
Jun 4 2013DISTRIBUTED for Conference of June 20, 2013.
Jun 24 2013Petition DENIED.