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Raymond J. Lucia Companies, In, et al v. SEC

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Case overview

Case Number:

15-1345

Court:

Appellate - DC Circuit

Nature of Suit:

- 

Companies

Sectors & Industries:

  1. January 12, 2018

    Supreme Court Agrees To Review SEC's In-House Judges

    The U.S. Supreme Court agreed Friday to consider whether the hiring of U.S. Securities and Exchange Commission administrative law judges violates the appointments clause of the Constitution, a case that could call into question the legitimacy of past rulings by the administrative judges.

  2. May 24, 2017

    DC Circuit Focuses On SEC's Powers Over ALJs

    Judges on the D.C. Circuit on Wednesday zeroed in on the key question of whether the U.S. Securities and Exchange Commission could overrule its administrative law judges in a case that could change the way in-house judges throughout the government are put in place.

  3. May 19, 2017

    Split On SEC In-House Judges To Be Key In DC Circ. Case

    A December decision by the Tenth Circuit that the use of administrative law judges is unconstitutional will hang over oral arguments next week as a broker challenges his industry ban by the SEC before the D.C. Circuit, which has previously upheld the use of in-house courts, experts say.

  4. May 05, 2017

    DC Circ. Told To Embrace 10th Circ. Ruling On SEC Judges

    An investment adviser urged the D.C. Circuit on Thursday to follow the Tenth Circuit’s lead in finding that the U.S. Securities and Exchange Commission’s in-house judges are unconstitutional, pointing to the Tenth Circuit’s recent refusal to rehear the issue.

  5. April 10, 2017

    SEC's ALJ Stance 'Blinks Reality,' Adviser Tells DC Circ.

    An investment adviser challenging the constitutionality of the U.S. Securities and Exchange Commission's in-house court told the D.C. Circuit on Monday that the agency's interpretation of federal law "simply blinks reality," as the appellate court reconsiders its opinion that found the in-house judges are constitutionally sound.

  6. April 03, 2017

    Don't Overturn Longtime ALJ Practice, SEC Urges DC Circ.

    The U.S. Securities and Exchange Commission on Friday urged the full D.C. Circuit to reject a challenge to the constitutionality of the agency's in-house judges, saying there's no basis for overturning a decades-long administrative practice, after the appellate court agreed to rehear the case.

  7. March 10, 2017

    Banned Adviser Urges DC Circ. To Upend Past Ruling On ALJs

    An investment adviser challenging the constitutionality of the U.S. Securities and Exchange Commission's in-house judges urged the D.C. Circuit on Friday to overturn a past circuit ruling on similar agency judges, after the appellate court agreed to rehear the SEC case.

  8. February 16, 2017

    DC Circ. Agrees To Rethink SEC Judges' Constitutionality

    The D.C. Circuit agreed Thursday to vacate a panel’s finding that the U.S. Securities and Exchange Commission’s in-house judges don’t need presidential appointment and to rehear the case before the entire court, taking another look at an issue that has split circuits.

  9. October 24, 2016

    SEC Challenger Misread High Court Finding, DC Circ. Told

    The U.S. Securities and Exchange Commission on Friday urged the D.C. Circuit to stand by its decision denying the appeal of an investment adviser who claims the agency's in-house judges require presidential appointment, saying he misinterpreted a U.S. Supreme Court decision in his bid for rehearing.

  10. October 14, 2016

    DC Circ. CFPB Ruling Supports Rehearing: SEC Challenger

    An investment adviser claiming the U.S. Securities and Exchange Commission’s in-house judges require presidential appointment told the D.C. Circuit Thursday that his point is bolstered by the court’s recent finding that the single-director structure atop the Consumer Financial Protection Bureau is unconstitutional.