U.S. S.E.C. v. CITIGROUP GLOBAL MARKETS, INC.

Attorney(s) appearing for the Case

Michael A. Conley , Deputy General Counsel, Securities and Exchange Commission ( Jacob H. Stillman , Solicitor, Mark Pennington , Assistant General Counsel, Jeffrey A. Berger , Senior Counsel, on the brief), Washington, D.C., for Plaintiff-Appellant-Cross-Appellee United States Securities and Exchange Commission.

Brad S. Karp , Paul, Weiss, Rifkind, Wharton & Garrison, LLP ( Theodore V. Wells, Jr. , Mark F. Pomerantz , Walter Rieman , Susanna M. Buergel , on the brief), New York, N.Y., for Defendant-Appellee-Cross-Appellant Citigroup Global Markets, Inc.

John R. Wing , Lankler Siffert & Wohl LLP ( Patrick P. Garlinger , on the brief), 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.).

Mark A. Perry , Gibson, Dunn & Crutcher, LLP, Washington, D.C., for Amicus Curiae Business Roundtable, in support of reversal.

William Michael Cunningham, Temple Hills, MD, Amicus Curiae pro se, in support of affirmance.

Dennis M. Kelleher ( Stephen W. Hall , Katelynn O. Bradley , on the brief) Washington, D.C., for Amicus Curiae Better Markets, Inc., in support of the affirmance.

Matthew G. Yeager, PH.D., Department of Sociology, King's University College, London, Ontario (William Calathes, Department of Criminal Justice, New Jersey City University, Jersey City, N.J., on the brief), Amici Curiae pro se, in support of affirmance.

Barbara J. Black , Charles Hartsock Professor of Law & Director, Corporate Law Center, University of Cincinnati College of Law, Cincinnati, OH, 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.

Akshat Tewary , Edison, N.J., for Amicus Curiae Occupy Wall Street-Alternative Banking Group, in support of affirmance.

Teresa Marie Goody , Kalorama Legal Services, PLLC, Washington, D.C., for Amicus Curiae Harvey L. Pitt, in support of affirmance.

Lori Alvino McGill , Latham & Watkins LLP, ( 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), Washington, D.C., for Amici Curiae Chamber of Commerce of the United States and Pharmaceutical Research and Manufacturers of America, in support of reversal.

Annette L. Nazareth , Davis Polk & Wardwell LLP ( Edmund Polubinski III , Gina Caruso , on the brief) New York, N.Y., for Amicus Curiae Securities Industry and Financial Markets Association, in support of reversal.

Daniel P. Chiplock , Lieff Cabraser Heimann & Bernstein, LLP, New York, N.Y., for Amicus Curiae National Association of Shareholder and Consumer Attorneys, in support of reversal.

Before: POOLER, LOHIER, and CARNEY, Circuit Judges.