Publication Date: 2014-06-06
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Court: U.S. Court of Appeals, Second Circuit
Judge: Before: Pooler, Lohier, and Carney, C.JJ.
Attorneys: For plaintiff: For Plaintiff-Appellant-Cross-Appellee United States Securities and Exchange Commission: Jacob H. Stillman, Solicitor, Mark Pennington, Assistant General Counsel, Jeffrey A. Berger, Senior Counsel, on the brief, Michael A. Conley, Deputy General Counsel, Securities and Exchange Commission, Washington, D.C.
for defendant: For Defendant-Appellee-Cross-Appellant Citigroup Global Markets, Inc.: Theodore V. Wells, Jr., Mark F. Pomerantz, Walter Rieman, Susanna M. Buergel, on the brief Brad S. Karp, Paul, Weiss, Rifkind, Wharton & Garrison, LLP, New York, N.Y. Appointed Pro Bono Counsel for the United States District Court for the Southern District of New York (Jed S. Rakoff, J.); Patrick P. Garlinger, on the brief, John R. Wing, Lankler Siffert & Wohl LLP, New York, N.Y. For Amicus Curiae Business Roundtable, in support of reversal: Mark A. Perry, Gibson, Dunn & Crutcher, LLP, Washington, D.C. Amicus Curiae pro se, in support of affirmance: William Michael Cunningham, Temple Hills, MD. For Amicus Curiae Better Markets, Inc., in support of the affirmance: Stephen W. Hall, Katelynn O. Bradley, on the brief, Dennis M. Kelleher Washington, D.C. Amici Curiae pro se, in support of affirmance: William Calathes, Department of Criminal Justice, New Jersey City University, Jersey City, N.J., on the brief, Matthew G. Yeager, Ph.D., Department of Sociology, King's University College, London, Ontario. For Amici Curiae Securities Law Scholars Jayne W. Barnard, Douglas M. Branson, Chris J. Brummer, Samuel W. Buell, John C. Coffee, Jr., James D. Cox, James Fanto, Jill E. Fisch, Tamar Frankel, Theresa Gabaldon, Joan MacLeod Heminway, Thomas W. Joo, Lawrence E. Mitchell, Jennifer O'Hare, Alan R. Palmiter, Margaret v. Sachs, Faith Stevelman, and Lynn A. Stout, in support of affirmance.: Barbara J. Black, Charles Hartsock Professor of Law & Director, Corporate Law Center, University of Cincinnati College of Law, Cincinnati, Ohio. For Amicus Curiae Occupy Wall Street — Alternative Banking Group, in support of affirmance: Akshat Tewary, Edison, N.J. For Amicus Curiae Harvey L. Pitt, in support of affirmance: Teresa Marie Goody, Kalorama Legal Services, PLLC, Washington, D.C. For Amici Curiae Chamber of Commerce of the United States and Pharmaceutical Research and Manufacturers of America, in support of reversal: Robin S. Conrad, Rachel Brand, National Chamber Litigation Center, Inc.; James M. Spears, Melissa B. Kimmel, Pharmaceutical Research and Manufacturers of America, on the brief, Lori Alvino McGill, Latham & Watkins LLP, Washington, D.C. For Amicus Curiae Securities Industry and Financial Markets Association, in support of reversal: Edmund Polubinski III, Gina Caruso, on the brief, Annette L. Nazareth, Davis Polk & Wardwell LLP, New York, N.Y. For Amicus Curiae National Association of Shareholder and Consumer Attorneys, in support of reversal: Daniel P. Chiplock, Lieff Cabraser Heimann & Bernstein, LLP, New York, N.Y.
Case Number: 11-5227-cv (L)
Cite as: U.S. Securities and Exchange Commission v. Citigroup Global Markets, Inc., 11-5227-cv (L), NYLJ 1202658104049, at *1 (2d Cir., D