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ALJs are A-OK: D.C. Circuit Upholds Constitutionality of SEC In-House Courts

USA - August 12 2016 In several recent decisions we have covered (here and here), Federal Circuit Courts have unanimously ruled that respondents in an SEC enforcement…

Bronwyn James.

Eleventh Circuit Joins Peers in Preserving SEC’s Home Court Advantage

USA - June 22 2016 After four failed attempts at persuading federal appellate courts to hear constitutional challenges to SEC administrative courts, it is increasingly…

Bronwyn James, Katherine L. Maco.

Second Circuit Halts Constitutional Challenge to SEC Administrative Proceedings

USA - June 3 2016 On June 1, the Second Circuit in Tilton et al. V. SEC, No. 15-2103 (2d. Cir. Jun. 1, 2016), echoed recent Seventh and D.C. Circuit decisions…

Bronwyn James, Jason M. Halper, Katherine L. Maco.

Supreme Court Issues Two Decisions That Limit Access to Federal Courts

USA - May 18 2016 On May 16, 2016, the United States Supreme Court handed down two decisions that may, in practice, limit the ability to access federal district courts…

Jason M. Halper, Katie Lieberg Stowe, Marc R. Shapiro, Robert Loeb, Robert Stern.

FINRA Issues Largest Fine Regarding Variable Annuities Contracts

USA - May 10 2016 On May 3, 2016, the Financial Industry Regulatory Authority announced that MetLife Securities, Inc. agreed to pay $25 million to settle allegations…

James Grohsgal, Suzette Pringle.