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Expert Analysis

3 Key Defense Arguments For Post-Lucia SEC Proceedings

By Andrew Morris and Ben Aiken (July 6, 2018, 4:23 PM EDT) -- In Lucia v. U.S. Securities and Exchange Commission, the U.S. Supreme Court held that SEC administrative law judges have been serving in violation of the Constitution's appointments clause — so that all of their actions have been legally invalid.[1] Lucia has rattled federal enforcement agencies, and it has triggered a torrent of commentary about its long-term implications for agency in-house courts. Lucia also set up several concrete defense arguments for respondents in SEC administrative actions. This article identifies three of the most significant arguments....

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