Tag: ALJs

SEC Suffers Rare Loss in Insider Trading Case Before Agency Judge

Marking a rare loss for the Securities and Exchange Commission (SEC) in its favored administrative forum, SEC Administrative Law Judge (ALJ) James E. Grimes ruled against the agency on April 18, 2017, in In the Matter of Charles L. Hill, Jr.  Ironically, the SEC fought hard to keep the case in the administrative forum, after Respondent Hill … Continue Reading

DOJ and SEC Dig In After Judicial Blow to SEC’s Home “Court” Advantage

As observed in this blog and elsewhere, the U.S. Securities and Exchange Commission has aggressively pursued enforcement actions in administrative proceedings before its own Administrative Law Judges (ALJs), rather than before federal judges in the U.S. District Courts.  In response, defendants have begun raising constitutional challenges to the SEC’s administrative proceedings, claiming that the SEC’s … Continue Reading
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