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Implications and Opportunities of Lucia v. SEC  


Author:  Brian Neil Hoffman.


Source: Volume 52, Number 03, February 1 2019 , pp.27-30(4)




Review of Securities & Commodities Regulation

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Abstract: 

In the Lucia case, the Supreme Court held that SEC ALJs were not validly appointed, compelling the Commission to reappoint them and to have their cases reheard before reassigned ALJs. In this article, the author discusses the case, the pressure it puts on the Commission, and the opportunities it creates for defense counsel.

Keywords: Lucia v. Securities and Exchange Commission; Administrative Law Judges (ALJs)

Affiliations:  1: Holland & Hart LLP.

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