Introduction This is the second of two articles reviewing the arguments of the parties in SEC v Raymond J. Lucia Companies, Inc., v. Securities and Exchange Commission, No. 15-1345 (D.C. Cir. Argument May 24, 2017). In that case the en …

SEC Enforcement, ALJs and the Appointments Clause – Part II Read More »

Introduction The future of the SEC’s administrative enforcement process and, in particular its Administrative Law Judges, will be the focus of the D.C. Circuit later this month as the Court, sitting en banc hears oral argument in SEC v Raymond …

SEC Enforcement, ALJs and the Appointments Clause Read More »