Administrative Hearings

News & Analysis as of

Securities Enforcement 2015 Year-End Review

The Securities and Exchange Commission (the SEC or the Commission) filed a record 807 enforcement actions in fiscal year 2015, 52 more than it filed in 2014. It also set a record by obtaining approximately $4.2 billion in...more

This Week In Securities Litigation

Washington spent much of this week digging out from a monster snow storm which left the government closed for two full days and reporting for work on a delayed based for two others. Two recent reports from Cornerstone...more

SEC Trends: More Enforcement Actions, More Administrative Proceedings, Less Sanctions

SEC enforcement is brining more actions, more administrative proceedings but obtaining lower amounts of penalties and disgorgement, according to a recent report by Cornerstone Research. SEC Enforcement Activity Against Public...more

Greasing the Wheels of Safety: NTSB Updates Regulations Governing Reports and Proceedings

New regulations governing National Transportation Safety Board investigative hearings, meetings, reports and petitions for reconsideration are set to go into effect on January 25, 2016. In general, the new regulations...more

2015 Health Care Year in Review

In 2015, ICD-10 finally became a reality, and the dire predictions of problems seem to be wrong. Providers now have codes to describe just about every conceivable (and a few simply bizarre) medical occurrences. If a patient...more

CAS Legal Mailbag Question of the Week

As a high school administrator, from time to time I have to attend expulsion hearings. It is an unpleasant but necessary part of my job, and most hearings run smoothly because the student admits to his or her misconduct....more

Court Enjoins SEC Administrative Proceeding

Last March, I posed the following question:   But if you were hailed before an unconstitutional tribunal with the ostensible authority to fine you and bar you from working, would you want a “real” court to step in and...more

This Week In Securities Litigation

The SEC’s apparent preference for administrative proceedings as a venue for its enforcement actions continues to draw criticism. H.R. 3798 is now pending in the House of Representatives. The bill is tilted the “Due Process...more

Defending The SEC’s Choice Of The Administrative Home Court

Wharton Associate Professor David Zaring has written an article defending the Securities and Exchange Commission’s choice to litigate in administrative rather than federal courts.  He argues that administrative adjudication...more

CMS Posts CY 2016 Amount in Controversy Thresholds for Medicare Appeals

CMS has published a notice announcing the annual adjustment in the amount in controversy (AIC) threshold amounts for Administrative Law Judge (ALJ) hearings and judicial review under the Medicare appeals process....more

DC Circuit: No Jurisdiction For Suits Re SEC Forum Selection Choice

Suits challenging the SEC’s forum selection decisions continue to proliferate. As the trend has unfolded the Commission posted a memo on its website discussing the issue of forum selection and has proposed modifications to...more

When Is Medical Information Considered Sensitive?

As discussed in yesterday’s post, the Securities and Exchange Commission has proposed that persons involved in administrative proceedings be required to submit all documents and other items electronically.  Under the SEC’s...more

SEC Proposes to Amend Rules Governing Administrative Proceedings

On September 24, 2015, the Securities and Exchange Commission (SEC) issued a press release announcing proposed amendments to its Rules of Practice governing administrative proceedings. The announcement comes at a critical...more

This Week In Securities Litigation

The Commission responded to critics of its administrative proceedings this week, proposing changes to the Rules of Practice which govern them. If adopted the new rules would modify the time period within which the actions...more

SEC Proposes Amendments to Rules Governing Administrative Proceedings

The Securities and Exchange Commission appears to be hearing the music. In response to the many voices that have expressed dissatisfaction with the procedures used in SEC administrative hearings, the SEC today issued proposed...more

Steep Fines Underscore Value of I-9 Compliance

A recent ruling by the Office of the Chief Administrative Hearing Officer (which has jurisdiction over cases arising under the Immigration and Nationality Act) underscores the importance of employers revisiting their internal...more

SEC Administrative Law Judges Ruled Unconstitutional

Introduction - A recent decision from the U.S. District Court for the Southern District of New York concludes that the manner in which Administrative Law Judges (“ALJs”) of the U.S. Securities and Exchange Commission...more

Indiana Tax Court Upholds Residential Land Value

On September 9, 2015, the Indiana Tax Court upheld the Indiana Board of Tax Review’s decision affirming an assessor’s residential land valuation. In Cooper v. Allen County Assessor, Homeowners argued that the March 1, 2012,...more

The Financial Report - Volume 14, No. 17 - September 2015 (US)

We all love to quote statistics when they tend to support whatever position we may be advocating. At the same time, however, we are often loath to take the time and effort to respond to surveys or provide information needed...more

Railroad Commission Examiners Find Injection Well Not Likely Contributor to Earthquakes

The controversy around whether wastewater injection wells cause earthquakes was finally put to legal scrutiny in a recent proceeding before administrative hearing examiners (Examiners) with the Texas Railroad Commission,...more

Health Alert (Australia) - September 7, 2015

In This Issue: -Judgments; Legislation; and Reports -Excerpt from Judgments Australia. High Court 2 September 2015 - AstraZeneca AB v Apotex Pty Ltd AstraZeneca AB v Watson...more

Slowing Down the SEC Administrative Train

I am convinced that the law eventually reaches the “right” solution. There may be disastrous detours along the way, but in the end the law will adapt to reach the right result. Of course, our history is replete with instances...more

Challenges to SEC Forum Selection Decisions

Two cases challenging the SEC’s use of administrative proceedings based on the Constitution’s Appointment Clause are headed for the Circuit Courts. One, Duka v. SEC will be considered by the Second Circuit. A second, Hill v....more

Bridging the Week - August 2015 #5

Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital...more

New OSHA Directive to Assist in Early Resolution of Whistleblower Complaints

On August 19, 2015, OSHA issued new policies and procedures (Compliance Directive: CPL 02-03-006) for applying a new process for resolving whistleblower disputes. This directive is OSHA’s attempt to institute an early...more

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