Since the passage of the Dodd-Frank Act in 2010, the securities defense bar has voiced concern that the Securities and Exchange Commission (SEC) receives an unconstitutional and inherently unfair “home court advantage” when it brings enforcement actions before administrative law judges (ALJs).[1] Some recent, high-profile ALJ rulings in favor of respondents—including Lynn Tilton’s victory last week—suggest that the public airing of these concerns may be leveling the playing field.
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