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Case Detail


Lucia v. SEC
On February 28, 2018, WLF filed a brief with the U.S. Supreme Court asking it to vacate a final order of the U.S. Securities and Exchange Commission (SEC) that violates the Constitution by placing federal enforcement authority in the hands of an administrative law judge (ALJ) who was not properly appointed as an “Officer of the United States” under the Appointments Clause. As WLF’s brief shows, that violation renders the proceedings and resulting order against the Lucia petitioners unconstitutional. Given the gravity of that Article II deficiency, WLF argues that the violation not only undermines the validity of the SEC’s underlying proceedings but requires the SEC to vacate the order and start from scratch if it chooses to renew enforcement efforts against the petitioners. WLF’s brief also demonstrates that the Court’s precedent bars any SEC effort to salvage prior administrative hearings conducted by ALJs in violation of the Appointments Clause.
Case Status:
Oral argument held April 23, 2018. Awaiting decision.
More Information and Downloads:
2/28/2018: Download the Brief

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