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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. February 01, 2016

    SEC's ALJs Too Powerful, Financial Planner Tells DC Circ.

    A financial planner told the D.C. Circuit on Monday the U.S. Securities and Exchange Commission's in-house judges — one of whom issued a lifetime ban and $300,000 in fines against him — aren't properly appointed under the Constitution.