The Fate of ALJs and Other Critical Issues Presented in Lucia v. SEC

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Presented by

Britt Whitesell Biles, Meryl D. Grenadier

About this talk

This seminar will analyze Lucia v. Securities and Exchange Commission, in which the Supreme Court will address the constitutionality of the Securities and Exchange Commission’s (“SEC”) Administrative Law Judges. Oral argument in this case is set for April 23, 2018. Among other items, this session will cover: · An overview of the SEC administrative process, including the genesis of the constitutional challenges to the forum and the changes that the SEC made to its Rules of Practice in response to those constitutional challenges; · A review of the key Appointments Clause jurisprudence leading up to Lucia; · An analysis of the potential outcomes of Lucia; and · A practical discussion of the potential impact of Lucia on SEC administrative proceedings, whether pending or already adjudicated. Please join Britt Whitesell Biles and Meryl D. Grenadier from Stein Mitchell Cipollone Beato & Missner LLP as they discuss this important Supreme Court case and its potential impact on SEC administrative proceedings. Ms. Biles recently joined Stein Mitchell from the SEC, where she served as Assistant Chief Litigation Counsel in the Division of Enforcement. At the SEC, Ms. Biles investigated and litigated securities enforcement actions, including administrative proceedings. In 2017, Ms. Biles received the SEC Chairman’s Award for Excellence for leading the litigation in the SEC’s groundbreaking law firm hacking case in which Chinese nationals were charged with securities fraud for trading on the basis of material nonpublic information that was stolen from law firms when their networks were hacked.
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