U.S. Supreme Court,
Securities
Mar. 19, 2019
Thunder (Basin) struck: Are Ray Lucia’s rights meaningless?
Last June, Ray Lucia won big at the U.S. Supreme Court. Yet Lucia finds himself once again facing SEC proceedings before a judge whose appointment does not comport with the Constitution. Worse still, he might be forced to endure years of additional, impoverishing and unconstitutional proceedings before getting the process to which the Supreme Court just held he was entitled. This shouldn’t be.
Last June, Ray Lucia won big at the U.S. Supreme Court. Lucia v. SEC, 2018 DJDAR 5940. Charged by the Securities and Exchange Commission with securities fraud and tried in front of the SEC's in-house administrative law judge, Lucia argued all the way up to the high court that the SEC's proceedings were fundamentally flawed because his judge had not been lawfully appointed in ...
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