News & Analysis as of

SEC Administrative Law Judge Appointments Held Likely Unconstitutional

Defendants in SEC administrative enforcement proceedings have increasingly been going to federal court to challenge the SEC’s stepped-up use of its "in-house" tribunal. While the early results were not promising, more recent...more

SEC Proposes Changes to Admin Forum

The SEC has announced a series of proposed changes to the Rules of Practice governing its internal enforcement actions. The changes update the decade-old Rules and respond in small part to a groundswell of criticism about the...more

SEC Again Rejects Constitutional Challenges to Administrative Enforcement Proceedings

The Securities and Exchange Commission again rejected constitutional challenges to the use of administrative enforcement proceedings presided over by Administrative Law Judges (“ALJs”). The Commission’s September 17, 2015...more

This Week In Securities Litigation

The Yates Memo, refocusing DOJ criminal and civil corporate investigations, continues to be the critical topic of discussion this week. The Memo, discussed here, directs that individuals be the focus of the inquiry from the...more

Alabama CON Report

I. SHPDA Administrative Report - AL2015-022, Gulf Health Hospitals, d/b/a Thomas Hospital, Daphne, AL: Proposes to establish a freestanding emergency department (FED). The project was approved with stipulation of...more

Second Railroad Commission Decision Agrees Injection Well Not Likely Contributor to Earthquakes

Texas Railroad Commission examiners have determined that a well operated by EnerVest Operating LLC likely did not contribute to a series of earthquakes in the state, mirroring a similar determination made on August 31 in a...more

Only One Short Bite of the Apple: Change in the Medicare Enrollment Appeals Process

In keeping with the trend to strengthen its authority to deny an enrollment or revoke Medicare billing privileges, CMS has modified the appeals process in a manner that will significantly shorten the time allotted to mount an...more

Ingles Solamente Reglas

English-only rules are not as common as they once were, but many employers still require employees to speak English only in the workplace. Justifications for these rules vary, but the Equal Employment Opportunity Commission...more

SEC ALJ Dismisses Case: Inside-Info Trades, But No Tipper Benefit

An SEC administrative law judge (“ALJ”) found that former Wells Fargo trader Joseph Ruggieri traded on material nonpublic information tipped him by former analyst Greg Bolan, but dismissed the insider-trading charges against...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

SEC ALJ Dismisses Insider Trading Claims Based on Dirks-Newman

When the Second Circuit handed down Newman the SEC joined with the Manhattan U.S. Attorney seeking rehearing en banc and arguing that the case would significantly hinder insider trading enforcement. Many wondered if the...more

Having the Last Word on the Last Word: SEC Says Its ALJs are “Mere Employees”

In what will surely not be the last word on this continuing controversy, on September 3, 2015, a majority of the members of the Securities and Exchange Commission held that the appointment process for the Commission’s...more

Colorado Supreme Court Oral Argument Held in Case Deciding Whether Courts and Commissions May Overrule Each Other in Eminent...

In June, the Colorado Supreme Court held oral argument in a case that is set to shape the way condemnation actions will be tried to commissions in the future. In Colorado, a landowner has the right to choose whether a jury or...more

D.R. Horton Déjà Vu: Will NLRB be Forced to Respect Class Action Waivers for Employers Doing Business in 5th Circuit?

As it stands, the National Labor Relations Board (“NLRB”) has taken the position that class action waivers in individual employee/employer arbitration agreements are illegal and the agency continues to invalidate these...more

Franchisors Vulnerable to Unfair Labor Practice Allegations

As expected, the National Labor Relations Board (NLRB) recently broadened the definition of joint employer.  In a 3-2 decision, the NLRB adopted the joint employment standard recommended by the NLRB’s General Counsel.  The...more

Appeals Court Upholds Board Finding of Failure to Bargain over Job Relocation

The D.C. Circuit recently enforced the National Labor Relations Board’s January 3, 2012 order holding that an automotive dealership had violated Sections 8(a)(5) and 8(a)(1) of the National Labor Relations Act by failing to...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

CMS Limits the Scope of Review for Certain Redeterminations and Reconsiderations

For providers who have received inconsistent or varying reasons for denial while navigating through the Medicare appeals process, the Centers for Medicare & Medicaid Services (CMS) has provided much-needed relief in the form...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

Obama Board Reaffirms Successor’s Right to Set Initial Terms of Employment when Taking Over Unionized Operation

Last week, the National Labor Relations Board issued a refreshingly employer-friendly decision which allowed a successor company to implement new pay terms without having to first bargain with the labor union. ...more

Franchisors Could Be “Joint Employers” Under NLRB’s Newly Expanded Test

Overturning over 30 years of precedent, the National Labor Relations Board (NLRB) on August 27, 2015, “refined” its test for determining whether two separate and independent business entities are a “joint employer” of the...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

California PUC Set to Address Handling of Confidential Records

On August 14, 2015 California Public Utilities Commission (CPUC) Administrative Law Judge (ALJ) Rafael Lirag extended the deadline for public comment in the CPUC Confidentiality/Public Records Act rulemaking proceeding. This...more

Another Significant Development in the Statutory Residency Area!

There are always “traps” in the tax law, where taxpayers unwittingly walk into a tax problem that they didn’t see coming. In the residency area, some taxpayers often got trapped on a move-in or move-out situation, with the...more

Judge Berman Deflates SEC’s ALJ Appointment Process

United States District Court Judge Richard M. Berman of the Southern District of New York has been making headlines in recent weeks as he presides over the highly publicized case between the National Football League (“NFL”)...more

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