Lucia: The Beginning of the End of SEC ALJs?
The Supreme Court resolved the question of whether SEC ALJs must be appointed in accord with the Constitution’s Appointments Clause, holding that their retention is subject to the provision. Thus the Court held that Petitioner Raymond J. Lucia is entitled …
Lucia: The Beginning of the End of SEC ALJs?
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The Commission’s increased use of administrative proceedings as the venue of choice for enforcement actions sparked a series of suits challenging the practice. The challenges have been largely unsuccessful, although they may result in the Supreme Court determining whether SEC …
Due Process, Fairness: SEC Administrative Enforcement Actions Read More »