Tag Archives: ALJ

ALJ Decision Results in SEC Retrying Enforcement Actions

The Supreme Court decision in Lucia v. SEC  that the in-house SEC administrative law judges (“ALJ”) were not properly appointed and put in office has resulted in the Securities and Exchange Commission (“SEC”) issuing an order to retry over 120 enforcement actions.   In the order, the SEC reiterated their approval of the appointments of Chief … Continue reading ALJ Decision Results in SEC Retrying Enforcement Actions