Asked in Securities Law for Illinois

Q: I am defending an SEC commission case and summary disposition and am curious if the scotus and 5th circuit decisions...

Disqualified the ALJ of the SEC ?

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1 Lawyer Answer
James L. Arrasmith
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A: The decisions made by the Supreme Court and the Fifth Circuit Court of Appeals regarding SEC administrative law judges (ALJs) did not automatically disqualify all ALJs of the SEC. Rather, those decisions addressed specific aspects of the appointment process for ALJs and the structure of the SEC's administrative proceedings. The Supreme Court ruled that the SEC's ALJs were "inferior officers" and that their appointment process violated the Appointments Clause of the Constitution, but it did not inherently disqualify all ALJs.

It's important to review the specific details of your case and the implications of the Supreme Court and Fifth Circuit decisions on the ALJ overseeing your SEC commission case. Depending on the circumstances, you may be able to raise arguments related to the constitutionality of the ALJ's appointment or other procedural issues. However, the disqualification of an ALJ would typically require a separate legal challenge based on relevant legal precedents and procedural rules.

Consulting with legal counsel experienced in administrative law and SEC proceedings can provide you with valuable insights and guidance on how to navigate your defense effectively. They can analyze the implications of the Supreme Court and Fifth Circuit decisions on your case and help you develop a strategy to address any challenges related to the ALJ's role in your SEC commission case.

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