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Supreme Court of the United States › SEC v Jarkesy › Securities and Exchange Commission (SEC)

The United States Supreme Court is the highest court of the United States and is charged with interpreting federal law, including the United States Constitution. The Court's docket is largely discretionary... more +
The United States Supreme Court is the highest court of the United States and is charged with interpreting federal law, including the United States Constitution. The Court's docket is largely discretionary with only a limited number of cases granted review each term.  The Court is comprised of one chief justice and eight associate justices, who are nominated by the President and confirmed by the Senate to hold lifetime positions. less -
Troutman Pepper Locke

White House Issues Memorandum Directing Federal Agencies to Repeal Regulations Deemed to be Unlawful Pursuant to Recent U.S....

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On April 9, the White House issued a memorandum directing federal executive departments and agencies to repeal regulations deemed unlawful pursuant to certain U.S. Supreme Court decisions. This directive aims to address...more

Perkins Coie

Leveling the Playing Field? Developing Discovery Strategies in CFTC Civil Enforcement Actions

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The Commodity Futures Trading Commission’s Division of Enforcement wields immense power in civil enforcement actions. It often seeks financial sanctions, including hefty financial penalties, and injunctive relief that can...more

Cornerstone Research

SEC Accounting and Auditing Enforcement Activity Plummeted in Final Year of Gensler Administration

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The U.S. Securities and Exchange Commission (SEC) drastically reduced its accounting and auditing enforcement activity in fiscal year 2024, the final year of Gary Gensler’s administration, ending two consecutive years of...more

Orrick, Herrington & Sutcliffe LLP

DOJ determines administrative law judges are unconstitutional

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On February 20, Acting Solicitor General Sarah M. Harris wrote to Sen. Charles Grassley (R-IA), President pro tempore of the Senate, and Rep. Mike Johnson (R-LA), Speaker of the House, to disclose that, pursuant to 28 U.S.C....more

Foley Hoag LLP - White Collar Law &...

SEC Expected to Shift Priorities and Adopt a More Business-Friendly Approach in 2025

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This is the fourth in our 2025 Year in Preview series examining important trends in white collar law and investigations in the coming year. We will be posting further installments in the series throughout the next several...more

Carlton Fields

Jarkesy May Reshape SEC Enforcement Against Professionals

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For decades, the SEC has relied on its in-house administrative proceedings to enforce alleged violations under the federal securities laws, including under its own rules of practice....more

Bradley Arant Boult Cummings LLP

Kansas Bank's Suit Could Upend FDIC Enforcement Authority

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On Nov. 19, 2024, the Federal Deposit Insurance Corp. issued a notice of assessment finding that between December 2018 and August 2020, CBW Bank — a single-branch bank in Weir, Kansas — failed to maintain an adequate...more

Mintz - Health Care Viewpoints

EnforceMintz —Could the Supreme Court’s Decision in Jarkesy Mean the End to HHS Civil Monetary Penalty Authorities as We Know...

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Last June, the Supreme Court issued its decision in Securities and Exchange Commission v. Jarkesy, which holds that the Seventh Amendment entitles a defendant to a jury trial when the Securities and Exchange Commission (SEC)...more

White & Case LLP

SEC Enforcement Year-End Overview

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2024 marks the final year of Gary Gensler's term as Chair of the U.S. Securities and Exchange Commission ("SEC"). The Gensler SEC has been aggressive on both the enforcement and rulemaking fronts. In response, the financial...more

Miller Nash LLP

SEC v. Jarkesy: Seventh Amendment Jury Trials, Seeking Civil Penalties, and Agency Administrative Actions

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The U.S. Supreme Court’s decision in Securities and Exchange Commission v. Jarkesy, 144 S. Ct. 2117 (2024) held that when the SEC seeks civil penalties to punish and deter wrongful conduct, the Seventh Amendment entitles the...more

Proskauer Rose LLP

FTC Focus: Zeroing In On Post-Election Labor Markets

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Under Chair Lina Khan, the Federal Trade Commission elevated its focus on labor markets. It promulgated a rule attempting to ban noncompete agreements, now stayed and subject to litigation. It took action against alleged...more

Proskauer - Labor Relations Update

Amazon, SpaceX Must Navigate Procedural Roadblocks in Constitutional Challenge of NLRB

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On November 18, 2024, the U.S. Court of Appeals for the Fifth Circuit heard oral argument on cases involving Amazon.com Inc. and SpaceX, respectively, challenging the constitutionality of the National Labor Relations Board...more

Proskauer - Government Contractor Compliance...

Texas District Court Issues Preliminary Injunction Halting OFCCP Administrative Proceeding

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On October 30, 2024, the District Court for the Southern District of Texas preliminarily enjoined the Department of Labor (“DOL”), the Secretary of Labor, the Office of Federal Contract Compliance Programs (“OFCCP”), and the...more

Ballard Spahr LLP

Citing Jarkesy, Asbury Automotive Group files suit challenging FTC administrative proceeding

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One of the country’s largest automotive retailers filed suit against the Federal Trade Commission (“FTC”) on October 4, arguing that the Supreme Court’s recent landmark decision in Securities and Exchange Commission v....more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: Oct. 1 Quarterly Review

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The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

Cooley LLP

Last term SCOTUS gave the administrative state quite a thumping. Does it still have the urge to curb?

Cooley LLP on

If you thought that SCOTUS’ decision in Loper Bright last term tolling the bell for the 70-year old Chevron doctrine was the end of SCOTUS’ drubbing of the administrative state, look again—you may well be sorely mistaken. You...more

Carlton Fields

Breeze or Gale? Unanswered Questions at the Heart of the Supreme Court’s Recent Administrative Law Decisions

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When legal historians look back on the U.S. Supreme Court’s 2024 term, the most eye-popping decisions will almost certainly be the immunity and ballot access claims lodged by former President Trump. Those opinions are,...more

Skadden, Arps, Slate, Meagher & Flom LLP

Insights - September 2024

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In this edition of Insights, we take a closer look at the megadeals and sponsor transactions driving recent M&A activity, the importance of staying ahead of the risks in AI development and deployment, and other diverse...more

Skadden, Arps, Slate, Meagher & Flom LLP

Supreme Court Decisions Curtail Regulatory Agencies’ Powers, Making It Easier To Challenge Rules

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The U.S. Supreme Court’s 2023 term is another chapter in the Roberts Court’s trend of shifting power away from administrative agencies and into the hands of courts....more

A&O Shearman

FINRA Beats First Post-Jarkesy Challenge

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On September 4, 2024, Judge John Murphy of the U.S. District Court for the Eastern District of Pennsylvania dismissed on jurisdictional grounds the first post-Jarkesy constitutional challenge to FINRA’s disciplinary...more

Mintz

A New Age of Agency Rulemaking and Enforcement

Mintz on

As we prepare for the next Supreme Court term, we’d like to look back at some of the most significant opinions from the last session and their potential impact on corporate regulation. Of the dozens of opinions issued by the...more

Cranfill Sumner LLP

After Jarkesy, What Is Next for In-House Enforcement Proceedings?

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Much virtual ink has been spilled in the weeks and months since the Supreme Court issued its opinion in Securities and Exchange Commission v. Jarkesy—much attesting to that the decision was the death knell for in-house...more

Jenner & Block

Client Alert: Under Jarkesy, FERC’s Penalty Assessment Schemes Are Unconstitutional

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In SEC v. Jarkesy, the Supreme Court considered whether the Seventh Amendment permits the SEC “to compel respondents to defend themselves before the agency rather than before a jury in federal court.” The Court held that the...more

Jones Day

SEC Dismisses In-House Proceedings Against Accountants Following Jarkesy

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In the wake of the U.S. Supreme Court's recent Jarkesy decision, the U.S. Securities and Exchange Commission ("SEC") dismissed two contested Rule 102(e) proceedings against accountants, suggesting that the agency believes...more

Orrick, Herrington & Sutcliffe LLP

Supreme Court Curtails Use of Administrative Courts in SEC Enforcement Proceedings: What it Means for Other Agencies and What...

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The U.S. Supreme Court has ruled that defendants in securities fraud cases brought by the SEC are entitled by the Seventh Amendment to have the SEC’s claims for civil money penalties decided by a jury and not in an...more

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