Docket No. | Op. Below | Argument | Opinion | Vote | Author | Term |
---|---|---|---|---|---|---|
14-29 | 2d Cir. | N/A | N/A | N/A | N/A | OT 2014 |
Issue: (1) Whether, in a prosecution for insider trading under § 10(b) of the Securities Exchange Act, 15 U.S.C. § 78j(b), the relevant inside information must have been a “significant factor” in the defendant’s decision to buy or sell, or whether -- as the court below held -- mere “knowing possession” of inside information suffices for a criminal conviction; (2) whether, in a prosecution for insider trading under § 10(b) of the Securities Exchange Act, 15 U.S.C. § 78j(b), the “fiduciary duty” element must be proved under well-established principles of state law, or whether -- as the court below held -- courts may define and impose the applicable fiduciary duty as a matter of federal common law; and (3) whether exculpatory testimony given by a witness during a deposition in a closely related federal enforcement proceeding is admissible under Federal Rule of Evidence 804(b) in a subsequent criminal trial when the witness is unavailable, or whether -- as the court below held -- such testimony may be excluded merely because it was given in a civil rather than criminal proceeding.
Date | Proceedings and Orders |
---|---|
Jul 8 2014 | Petition for a writ of certiorari filed. (Response due August 11, 2014) |
Jul 21 2014 | Consent to the filing of amicus curiae briefs, in support of either party or of neither party, received from counsel for the petitioner. |
Aug 6 2014 | Order extending time to file response to petition to and including September 10, 2014. |
Aug 8 2014 | Brief amicus curiae of Allan Horwich filed. |
Aug 8 2014 | Brief amicus curiae of Professor Stephen M. Bainbridge filed. |
Sep 10 2014 | Brief of respondent United States in opposition filed. |
Sep 24 2014 | DISTRIBUTED for Conference of October 10, 2014. |
Sep 24 2014 | Reply of petitioner Douglas F. Whitman filed. (Distributed) |
Oct 8 2014 | Rescheduled. |
Oct 14 2014 | DISTRIBUTED for Conference of October 17, 2014. |
Oct 16 2014 | Rescheduled. |
Oct 27 2014 | DISTRIBUTED for Conference of October 31, 2014. |
Oct 30 2014 | Rescheduled. |
Nov 3 2014 | DISTRIBUTED for Conference of November 7, 2014. |
Nov 10 2014 | Petition DENIED Statement of Justice Scalia, with whom Justice Thomas joins, respecting the denial of certiorari. (Detached Opinion) |
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