Securities,
Corporate,
Constitutional Law,
Administrative/Regulatory
Jul. 22, 2016
SEC ALJs continue to draw scrutiny
While early constitutional challenges to the SEC's use of in-house judges appeared promising for respondents, more recent decisions have handed a string of victories to the SEC.
Thomas A. Zaccaro
Senior Counsel
Hueston Hennigan LLP
Phone: (213) 788-4039
Email: tzaccaro@hueston.com
Boston College Law School
Thomas is a partner in the firm's Litigation Department. He served as regional trial counsel in the SEC's Los Angeles office.
Nicolas Morgan
Partner
Paul Hastings LLP
Phone: (213) 683-6181
Email: nicolasmorgan@paulhastings.com
Nicolas is a partner in the firm's Litigation Department. He served as senior trial counsel in the SEC's Los Angeles office.
Recent years have witnessed a dramatic increase in the number of enforcement actions brought by the U.S. Securities and Exchange Commission in its administrative forum, where the commission enjoys a decisive home-court advantage. While early constitutional challenges to these proceedings appeared promising for respondents, more recent decisions from the U.S. Courts of Appeals for the 2nd, 7th, 11th and D.C. Circuits have handed a string of victories to the SEC. Nevertheless, amendments to ...
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