Daily Archives: January 17, 2018, 1:02 pm

If SCOTUS finds SEC ALJ appointments unconstitutional, what happens to tainted cases?

The SEC has brought hundreds of enforcement actions before administrative law judges in the past several years, since the Dodd-Frank financial reform act gave the agency leeway to choose administrative proceedings, in which the SEC sets the rules of evidence, over suits in federal court, where defendants have more robust due process rights. So assuming that the Supreme Court ends…

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