Brian Kowalski

Brian Kowalski

Latham & Watkins LLP

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Supreme Court: SEC ALJs Are Officers Subject to Constitution’s Appointments Clause

Respondents in pending or future proceedings should carefully assess their options until several key legal questions are resolved. The United States Supreme Court recently issued its ruling in Lucia v. Securities and...more

7/13/2018  /  Administrative Law Judge (ALJ) , Administrative Proceedings , Appointments Clause , Constitutional Challenges , Enforcement Actions , Final Written Decisions , Lucia v SEC , SCOTUS , Securities and Exchange Commission (SEC) , Special Trial Judges (STJs)

SEC Speaks Conference 2016: Key Takeaways for Public Companies

Senior SEC enforcement staff “Speaks” to the division’s performance in 2015 and identifies priorities for 2016. Senior members of the Enforcement Division of the US Securities and Exchange Commission (SEC) gathered on...more

2/29/2016  /  Administrative Proceedings , Cooperation , Cybersecurity , Department of Justice (DOJ) , Foreign Corrupt Practices Act (FCPA) , Insider Trading , Securities and Exchange Commission (SEC) , Whistleblowers
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