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SEC v. Zandford

Docket No.: 01-147
Certiorari Granted: Nov 8 2001
Argued: March 18, 2002
Decided: June 3, 2002

Topics:

Securities Act of 1933, the Securities and Exchange Act of 1934, or the Williams Act, Economic Activity, Federal Regulation of Securities, Administrative Procedure, Commerce Clause, Due Process, FOIA, Federal Tort Claims, Fifth Amendment, First Amendment, Freedom of Information Act, Interstate Commerce Clause, equitable relief, habeas, habeas corpus, murder, qualified immunity

PartyNames: Securities and Exchange Commission v. Charles Zandford
Petitioner: Securities and Exchange Commission
Respondent: Charles Zandford

Court Below: United States Court of Appeals for the Fourth Circuit
Citation: 238 F.3d 559
Lower Court Decision
Supreme Court Docket

Securities and Exchange Commission
v.
Charles Zandford
535 U.S. 813 (2002)
Question:

Is the alleged fraudulent conduct of a securities broker, who sells his customer's securities and using the proceeds for his own benefit without the customer's knowledge or consent, in connection with the purchase or sale of any security within the meaning of the Securities Exchange Act of 1934 and SEC Rule 10b-5?

SEC v. Zandford
ORAL ARGUMENT

March 18, 2002

Holding: reversed and remanded
Decision: Decision: 9 votes for SEC, 0 vote(s) against

SEC v. Zandford
Case Documents

1Opinion in SEC v. Zandford
2Opinion in SEC v. Zandford
Additional documents for this case are pending review.