Post-Lucia, It’s Deja Vu With The SEC

Law360 (April 22, 2019, 3:39 PM EDT) -- Last June, Raymond Lucia won big at the U.S. Supreme Court.[1] Charged by the U.S. Securities and Exchange Commission with securities fraud and tried in front of the SEC’s in-house administrative law judge, Lucia argued all the way up to the high court that the SEC’s proceedings were fundamentally flawed because his judge had not been lawfully appointed in the manner prescribed by the U.S. Constitution.[2]

The court agreed, ruling that he was entitled to have a new, properly-appointed judge preside over his case.[3] On remand, however, Lucia found himself once again facing SEC proceedings before an ALJ whose appointment does...

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