Month: June 2018

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?

Read More »

Tagged with: , ,

Decisions by the Supreme Court were key this week. The High Court concluded that SEC ALJs were appointed in violation of the Constitution. In reaching that conclusion the Court sidestepped a second constitutional question as well as the issue of …

This Week In Securities Litigation (Week ending June 22, 2018) Read More »

Tagged with: , , , ,