Analysis

High Court Ruling Against SEC A Boon For Defendants

Law360 (November 8, 2019, 6:44 PM EST) -- An offer by the U.S. Securities and Exchange Commission to rehear more than 100 cases brought before its administrative law judges last year benefited many defendants who took it.

After an adverse 2018 U.S. Supreme Court ruling about how the judges were appointed, the securities regulator said it would allow new hearings before a different ALJ for cases that had been appealed to the commission or stayed after the justices’ ruling. Many of the defendants who agreed to a rehearing reached settlements with fines that were tens of thousands of dollars less than they had initially been ordered to pay. One settlement...

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