News & Analysis as of

Administrative Law Judge (ALJ) Final Written Decisions

WilmerHale

Jarkesy Case Upends SEC Tribunal

WilmerHale on

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...

Miller Canfield on

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

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

Cadwalader, Wickersham & Taft LLP

Federal Circuit to Examine the Constitutionality of Prior Inter Partes Review Invalidity Determinations in the Wake of Arthrex

On November 9, 2019, the United States Court of Appeals for the Federal Circuit ordered the parties in Polaris Innovations Lt. v. Kingston Technology Company, Inc. to provide supplemental briefing addressing the...more

Wilson Sonsini Goodrich & Rosati

Strategic Considerations for PTAB Appellants and Appellees in a Post-Arthrex World

On October 31, 2019, a Federal Circuit panel issued Arthrex, Inc. v. Smith & Nephew, Inc., holding that administrative patent judges (APJs) of the Patent Trial and Appeal Board (PTAB) were unconstitutionally-appointed...more

Jones Day

IPR Goes Forward Despite Late Stage Parallel ITC Investigation

Jones Day on

Since their inception as part of the AIA, inter partes reviews (IPRs) have been a favorite tool in the arsenal of patent challengers. Their statutorily mandated 18-month schedule oftentimes allows the PTAB to resolve a...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

Supreme Court Places Another Limitation on Chevron Deference

The justices of the Supreme Court of the United States have again limited the reach of Chevron deference. On May 28, 2019, the Court in Smith v. Berryhill carved another exception into what has lately proven to be its...more

Faegre Drinker Biddle & Reath LLP

Supreme Court Decides Smith v. Berryhill

On May 28, 2019, the U.S. Supreme Court decided Smith v. Berryhill, holding a dismissal by the Social Security Administration’s Appeals Council on timeliness grounds after a claimant has had an administrative law judge...more

Jones Day

Commission Defers to PTAB’s Invalidation of a Single Claim in an Otherwise Blanket Affirmance of the ALJ’s Initial Determination

Jones Day on

The ITC issued a final determination in a long-running dispute between Sony and Fujifilm. Certain Magnetic Tape Cartridges And Components Thereof, Inv. No. 337-TA-1058, Notice Of A Commission Final Determination (March 25,...more

Carlton Fields

SEC Proceedings Face Uncertainty After Supreme Court Holds ALJs Unconstitutional

Carlton Fields on

After much anticipation, the U.S. Supreme Court ruled on the constitutionality of the Securities and Exchange Commission’s (SEC or Commission) Administrative Law Judges (ALJs)....more

Foley & Lardner LLP

Constitutionality of PTAB Judge Appointments Challenged In Polaris IPR Appeal

Foley & Lardner LLP on

In the wake of Lucia v. SEC, where the Supreme Court held in June 2018 that Administrative Law Judges (ALJs) at the SEC are “officers” subject to the Appointments Clause, there have been challenges to the constitutionality of...more

Manatt, Phelps & Phillips, LLP

ALJs Could Get Political With New Executive Order

The new executive order (EO) granting agency chiefs the power to hire administrative law judges (ALJs) according to their own standards—and eliminating the exam and competitive hiring process formerly in place—could turn the...more

Polsinelli

Lack of Presidential Appointment May Invalidate ALJ Decisions

Polsinelli on

In one of its last opinions of the term, the U.S. Supreme Court held in Lucia v. U.S. Securities and Exchange Commission (SEC) on June 21, 2018, that administrative law judges (ALJs) are officers of the United States, not...more

Sheppard Mullin Richter & Hampton LLP

Lucia Is Likely To Have Little Impact On Waning FCC Adjudications

During its most recent Term, the Supreme Court held in Lucia v. SEC that the administrative law judges (“ALJs”) that preside over adjudications at the Securities and Exchange Commission (“SEC”) are “Officers of the United...more

Jones Day

Don’t Forget to Bring Your Redesigned Products to the ITC

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The ITC recently modified a previously issued remedial order such that certain of the Respondents’ redesigned products were not covered by the limited exclusion order (LEO) or the cease and desist order (CDO). Certain Network...more

Latham & Watkins LLP

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

Latham & Watkins LLP on

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

Orrick, Herrington & Sutcliffe LLP

3 Key Defense Arguments For Post-Lucia SEC Proceedings

Orrick's Andrew Morris and Ben Aiken co-authored an article for Law360 in which they identify three of the most significant defense arguments for respondents in SEC administrative actions in light of the Supreme Court's...more

Carlton Fields

Supreme Court Set to Rule on Constitutionality of SEC’s ALJs

Carlton Fields on

In April, the U.S. Supreme Court heard oral argument in Lucia v. SEC to resolve the federal circuit court split on whether the SEC’s administrative law judges (ALJs) are "inferior officers" of the United States who must be...more

Vedder Price

SEC Administrative Law Judges: Key Takeaways and Lingering Questions from Lucia v. SEC

Vedder Price on

On June 21, 2018, the United States Supreme Court resolved a circuit split on the question of whether administrative law judges (“ALJs”) of the Securities and Exchange Commission (the “SEC” or the “Commission”) qualify as...more

Ballard Spahr LLP

What does the Supreme Court’s Lucia decision mean for the CFPB and federal banking agencies?

Ballard Spahr LLP on

In its June 21 decision in Lucia v. Securities & Exchange Commission, the U.S. Supreme Court ruled that administrative law judges (ALJs) used by the SEC are “Officers of the United States” under the Appointments Clause in...more

Jones Day

U.S. Supreme Court Holds SEC's Staff Appointments for Administrative Law Judge Unconstitutional

Jones Day on

In Lucia v. SEC, the U.S. Supreme Court made things messy for the Securities and Exchange Commission ("SEC") by vindicating constitutional concerns over the agency's use of administrative law judges. The Court concluded that...more

K&L Gates LLP

Supreme Court Offers Others a Chance for a Second Bite at the Apple in Federal Administrative Adjudication Proceedings – But the...

K&L Gates LLP on

On June 21, 2018 the U.S. Supreme Court ruled in Lucia et al. v. Securities and Exchange Commission, [1] that the appointment of certain administrative law judges (“ALJs”) was unconstitutional, and that those with matters...more

Kramer Levin Naftalis & Frankel LLP

Supreme Court Rules the SEC’s Procedure for Appointing Administrative Law Judges Violates the Constitution’s Appointments Clause

On June 21, 2018, the Supreme Court in Raymond J. Lucia, et al. v. SEC, held that the SEC’s administrative law judges are “Officers of the United States” whose appointment must comport with the requirements of the...more

Tonkon Torp LLP

Supreme Court Throws Out SEC Administrative Law Judge Process

Tonkon Torp LLP on

On June 21, 2018, the Supreme Court of the United States invalidated the process that the Securities and Exchange Commission ("SEC") had been using to appoint administrative law judges. Staff from the SEC had selected...more

Dechert LLP

Supreme Court Holds That SEC’s Administrative Law Judges Were Unconstitutionally Appointed

Dechert LLP on

The U.S. Supreme Court recently held, in Lucia v. SEC,1 that Administrative Law Judges (ALJs) for the U.S. Securities and Exchange Commission (SEC or Commission) are officers of the United States who must be appointed...more

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