News & Analysis as of

Administrative Law Judge (ALJ) Appointments Clause

Jones Day

DOJ's Immigration-Employment Program Faces Headwinds Amidst Milestone Settlement

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Two recent developments involving the U.S. Department of Justice's Civil Rights Division ("DOJ") highlight potential risks and opportunities for companies facing immigration-related employment matters....more

Burr & Forman

The Assault on the SEC’s Administrative Citadel Continues

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A panel of the D.C. Circuit recently relied on Lucia and Cochran to enjoin a FINRA regulatory enforcement action pending appeal of an Appointments Clause challenge....more

Burr & Forman

Jarkesy Gets His Day: SCOTUS to Review SEC ALJs

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On June 20, 2023, the Supreme Court granted certiorari to review three questions about the Securities and Exchange Commission’s (SEC’s) administrative courts...more

Venable LLP

U.S. Supreme Court Justices Thomas and Gorsuch Skeptical of ALJ Proceedings in Axon Enterprise v. Federal Trade Commission...

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The U.S. Supreme Court’s landmark decision unanimously reversing the Ninth Circuit in Axon Enterprise v. Federal Trade Commission is likely to represent a monumental shift in pre-enforcement challenges to administrative...more

Orrick, Herrington & Sutcliffe LLP

Online lender asks Supreme Court to review ALJ ruling

A Delaware-based online payday lender and its founder and CEO (collectively, “petitioners”) recently submitted a petition for a writ of certiorari challenging the U.S. Court of Appeals for the Tenth Circuit’s affirmation of a...more

Woodruff Sawyer

The SEC’s Administrative Law Judges Under Fire

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In addition to creating rules that govern both private and public companies, the Securities and Exchange Commission (SEC) uses an in-house, government legal system—Administrative Law Judges (ALJs)—to prosecute securities...more

Carlton Fields

Attacks on the SEC Administrative Citadel

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For decades, the SEC Enforcement Division has opted to use the SEC’s in-house administrative law judges (ALJs) when the case involved a registered entity, which was the jurisdictional base for in-house administrative...more

Holland & Knight LLP

SEC in Constitutional Danger Zone Following Several Recent Decisions

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The constitutional spotlight is shining on the U.S. Securities and Exchange Commission (SEC). In the last several weeks, the U.S. Supreme Court agreed to hear a case seeking broader federal jurisdiction for constitutional...more

Jenner & Block

Fifth Circuit Holds SEC's In-House Forum is Unconstitutional

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When Congress passed the Dodd-Frank Act, it expanded the SEC’s power to use its in-house administrative forum to bring enforcement actions. Supporters said this change promoted investor protection by giving the SEC a more...more

Kramer Levin Naftalis & Frankel LLP

The Supreme Court Will Review District Court Jurisdiction Over Constitutional Challenges to SEC ALJs | Fifth Circuit Holds SEC ALJ...

This alert addresses proceedings in two SEC securities enforcement actions emanating out of the Fifth Circuit. Both pose issues relating to the SEC’s power to bring enforcement proceedings in front of in-house administrative...more

WilmerHale

Jarkesy Case Upends SEC Tribunal

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On May 18, 2022, the US Court of Appeals for the Fifth Circuit issued its decision in Jarkesy v. SEC, vacating a Securities and Exchange Commission (SEC) decision in an enforcement action brought as an administrative...more

Miller Canfield

Federal Court Calls Unconstitutional the U.S. Securities & Exchange Commission’s In-House Administrative Proceedings for...

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Key Takeaways - ..The U.S. Supreme Court is poised to hear cases that may curtail the administrative powers of the SEC. ..These rulings may portend greater limits on federal administrative agencies generally....more

Eversheds Sutherland (US) LLP

SEC faces new challenges to constitutionality of its in-house proceedings

Two recent decisions have put the US Securities and Exchange Commission’s (SEC) in-house administrative proceedings in the crosshairs. First, on May 16, 2022, the US Supreme Court agreed to consider whether Administrative Law...more

Kramer Levin Naftalis & Frankel LLP

Creating Circuit Split, Fifth Circuit Rules District Court May Hear Constitutional Challenge to SEC Enforcement Action

On Dec. 13, 2021, an en banc panel of the Fifth Circuit held that the Securities Exchange Act of 1934 (Exchange Act) does not preclude federal district courts from exercising subject matter jurisdiction over constitutional...more

Jones Day

PTAB Lifts Arthrex Remand Stay

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On October 26, 2021, Chief Administrative Patent Judge (“APJ”) Boalick lifted a May 1, 2020 stay issued by the PTAB pending the Supreme Court’s consideration of Arthrex in which 103 cases were placed in “administrative...more

Knobbe Martens

Federal Circuit Holds That the PTAB Does Not Have an Impermissible Incentive to Institute IPRs

Knobbe Martens on

MOBILITY WORKX, LLC v. UNIFIED PATENTS, LLC Before Newman, Schall, and Dyk. Appeal from the Patent Trial and Appeal Board. Summary: Fee-funded structure of AIA review proceedings does not violate due process....more

Dorsey & Whitney LLP

The Supreme Court - June 21, 2021

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Goldman Sachs Group, Inc. v. Arkansas Teacher Retirement System, No. 20-222: In this securities-fraud class action, plaintiff pension funds brought suit against the Goldman Sachs Group, alleging that Goldman had maintained an...more

Jones Day

Supreme Court Excuses Administrative Exhaustion for Some Structural Constitutional Claims

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In Carr v. Saul, the U.S. Supreme Court unanimously held that a party can raise a challenge under the Constitution’s Appointments Clause to an Administrative Law Judge’s (“ALJ”) decision, even if the party did not raise the...more

Dorsey & Whitney LLP

The Supreme Court - April 22, 2021

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AMG Capital Management, LLC v. FTC, No. 19-508: Petitioner Scott Tucker controlled a number of companies offering short-term payday loans. The Federal Trade Commission (“FTC”) brought suit, claiming that Tucker and his...more

Sterne, Kessler, Goldstein & Fox P.L.L.C.

Federal Circuit Appeals from the PTAB and ITC: Summaries of Key 2020 Decisions

[co-author: Kathleen Wills] Last year, the global COVID-19 pandemic created unprecedented challenges for American courts. By making several changes, however, the U.S. Court of Appeals for the Federal Circuit was able to...more

Dorsey & Whitney LLP

Highlights Part I of the Trademark Modernization Act of 2020: Irreparable Harm and TTAB Inferior Officers

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After a fair amount of end-of-year legislative drama, the Trademark Modernization  Act of 2020 (“TMA”) was signed into law on December 27, 2020 as part of the Consolidated Appropriations Act for 2021, which also included...more

Morrison & Foerster LLP - Federal Circuitry

What Does the Supreme Court’s Grant in Two Social Security Cases Have to Do With Arthrex?

As readers know, we have written about Arthrex a lot.  So what better way to start Monday than another short post?  Today, the Supreme Court granted cert. in Carr v. Saul, No. 19-1442, and Davis v. Saul, No. 20-105—two cases...more

Dorsey & Whitney LLP

The Supreme Court - November 9, 2020

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Carr v. Saul, No. 19-1442; Davis v. Saul, No. 20-105: Whether a claimant seeking disability benefits under the Social Security Act, 42 U.S.C. §301 et seq., forfeits an Appointments Clause challenge to the appointment of an...more

Womble Bond Dickinson

The Supreme Court, Federal Circuit, and PTAB Dance to Boloro Over the Constitutionality of Administrative Patent Judges

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In a string of appeals from the Patent Trial and Appeal Board (“PTAB”), the Court of Appeals for the Federal Circuit has called into question the constitutional legitimacy of numerous inter partes and – as of this week – ex...more

Jones Day

Cert Filed in Arthrex on Appointments Clause Issue

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The United States petitioned the Supreme Court for certiorari in Arthrex. Cert. Pet., No. 19-1434 (June 25, 2020). Two additional petitions for writs of certiorari have been filed, one by Arthrex and one by Smith & Nephew...more

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