Stephen Topetzes

Stephen Topetzes

K&L Gates LLP

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SEC Reverses Course on ALJ Appointments Issue, but Uncertainty Remains

On Thursday, November 30, 2017, the Securities and Exchange Commission (“SEC” or the “Commission”) took action to settle an issue that had been impacting its enforcement efforts for some time: whether its administrative law...more

12/11/2017  /  Administrative Law Judge (ALJ) , Administrative Proceedings , Appointments Clause , Article II , Constitutional Challenges , Enforcement Actions , Securities and Exchange Commission (SEC)

Tenth Circuit Decision Finds Against the SEC and Creates a Circuit Split on the Constitutionality of the Commission’s ALJs

In the final days of 2016, the U.S. Court of Appeals for the Tenth Circuit denounced the constitutional authority of the five administrative law judges (“ALJs”) who preside over contested administrative proceedings brought by...more

1/10/2017  /  Administrative Law Judge (ALJ) , Administrative Proceedings , Constitutional Challenges , Enforcement Actions , Securities and Exchange Commission (SEC)
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