The Future Of SEC Administrative Proceedings

Law360, New York (January 4, 2017, 11:20 AM EST) -- Breon Peace

Lisa Vicens

Darryl G. Stein On Tuesday, Dec. 27, 2016, the U.S. Court of Appeals for the Tenth Circuit in Bandimere v. U.S. Securities and Exchange Commission found that the SEC's use of administrative law judges (ALJs) violated the U.S. Constitution. While the court's opinion relies on a somewhat arcane question of administrative law — whether the hiring of SEC ALJs violated the appointments clause — its decision to set aside an SEC order imposing sanctions for securities laws violations raises significant questions about future SEC claims brought before ALJs rather than in federal courts, as well as prior...

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