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Expert Analysis

Forum Over Substance? Respondent Rights And The SEC

Law360, New York ( July 14, 2015, 10:30 AM EDT) -- The past year has been a tumultuous one for the U.S. Securities and Exchange Commission, as litigants, judges and even respected former members of the SEC's enforcement staff have questioned its decision to rely on in-house administrative law judges to adjudicate matters that previously would have been filed as civil enforcement actions in district court.[1] Initial legal skirmishes on this front did nothing to slow that agency's pivot away from the Article III courts in which settlements and contested claims alike have not always fared so well in recent years....

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