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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. September 23, 2016

    DC Circ. Urged To Rethink SEC In-House Constitutionality

    An investment adviser claiming the U.S. Securities and Exchange Commission's in-house judges require presidential appointment asked the D.C. Circuit on Friday to reconsider its decision rejecting his petition for review, saying the appellate court has clearly misinterpreted the Appointments Clause of the U.S. Constitution.

  2. August 09, 2016

    SEC Wins 1st Appellate Ruling On In-House Constitutionality

    The D.C. Circuit on Tuesday became the first appellate court to find that the U.S. Securities and Exchange Commission's administrative courts are constitutionally sound, rebuffing an appeal brought by an investment adviser who claimed the agency's in-house judges needed to be appointed by the president.

  3. July 12, 2016

    Securities Cases To Watch In The 2nd Half Of 2016

    The back half of 2016 promises to be exciting for securities lawyers, as the U.S. Supreme Court considers its first insider trading case in nearly 20 years, the D.C. Circuit prepares to rule on the U.S. Securities and Exchange Commission's administrative tribunal, and the U.S. Department of Labor defends challenges to its fiduciary rule.

  4. June 22, 2016

    SEC Challenger Tells DC Circ. Old Rulings Still Relevant

    An investment adviser challenging the U.S. Securities and Exchange Commission’s in-house court disputed the SEC’s claim that his appeal in the D.C. Circuit relies on since-vacated federal court decisions ruling the tribunal unconstitutional, saying Wednesday that the rulings are still relevant.

  5. June 21, 2016

    SEC Says Challenge To In-House Court Relies On Old Rulings

    The U.S. Securities and Exchange Commission on Tuesday squashed an investment adviser's challenge of the constitutionality of the agency's in-house judges, telling the D.C. Circuit that his appeal leaned on three district court decisions that have since been vacated.

  6. May 13, 2016

    DC Circ. Questions Merit Of SEC Constitutionality Appeal

    Members of a D.C. Circuit panel questioned a former fund manager's challenge to the constitutionality of U.S. Securities and Exchange Commission judges, asking whether the judges need to be appointed when the commission has the power to overrule them entirely.

  7. May 11, 2016

    SEC Says Amtrak Ruling Doesn't Apply In ALJ Challenge

    The U.S. Securities and Exchange Commission told the D.C. Circuit on Tuesday that a money manager it banned from the industry can't lean on the court's recent Amtrak due process ruling in his quest to have the commission's in-house courts declared unconstitutional.

  8. May 06, 2016

    Amtrak Ruling Shows SEC Judges' Shaky Status, DC Circ. Told

    A financial planner alleging the U.S. Securities and Exchange Commission overstepped its authority when it banned him from the industry told the D.C. Circuit on Friday that the court’s recent Amtrak due process ruling confirms that the SEC’s in-house judges are unconstitutionally appointed officers.

  9. March 24, 2016

    SEC Judges Have Limited Power, Agency Tells DC Circ.

    The U.S. Securities and Exchange Commission urged the D.C. Circuit on Wednesday to reject a banned former money manager's claims that its in-house judges are unconstitutional, saying the system as it stands offers the balance that Congress intended.

  10. February 09, 2016

    SEC Judges Unconstitutional, Mark Cuban Tells DC Circ.

    Billionaire Mark Cuban jumped into another battle against the U.S. Securities and Exchange Commission's in-house judges on Monday, arguing the judges are unconstitutionally appointed and urging the D.C. Circuit to grant an appeal by a money manager who was banned by one of them for life.