All Administrative Proceedings articles – Page 2

  • Blog post

    Second District Court Upholds SEC Use of Administrative Hearings


    A hot topic on this blog of late has been the SEC's recent focus on bringing cases as administrative proceedings, an in-house type of action in which the agency has enjoyed extraordinary success. A related, and just as hot, topic has been the efforts of numerous respondents in these APs ...

  • Blog post

    SEC Commish Wants Clarity on SEC Enforcement Policy


    Image: SEC Commissioner Michael Piwowar is calling on the agency to create guidelines for when it will bring enforcement actions as administrative proceedings and when it will pursue cases in federal court. Given the SEC’s 100 percent success rate in administrative proceedings, he said in a speech, clarity on enforcement ...

  • Blog post

    SEC Riding Lengthy Unbeaten Streak in Administrative Proceedings


    As I observed here last week, there has been a recent flurry of cases filed by respondents in SEC administrative proceedings claiming that the SEC's use of these "APs" is unconstitutional for various reasons. Indeed, on Friday of last week, one such constitutional challenge was brought by a person who ...

  • Blog post

    Former S&P Official Seeks to Pull Plug on 'Imminent' AP Against Her


    In recent months, defendants in multiple SEC cases that the agency has brought as administrative proceedings have shot back as plaintiffs in federal court claiming that the SEC's use of these "APs" is unconstitutional. On December 11, 2014, the SEC prevailed in the first of these challenges to be decided ...