News & Analysis as of

Administrative Law Judge (ALJ) Enforcement Actions Administrative Hearings

Mandelbaum Barrett PC

Another Major Win for Hemp Retailers: Case Dismissed by NYOCM Office of Administrative Hearings

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The Office of Administrative Hearings recently dismissed a notable case involving allegations of unlicensed cannabis sales, offering valuable insights into the evolving regulatory landscape for licensed hemp retailers. On...more

Bradley Arant Boult Cummings LLP

Summary Judgment: Recent HIPAA Case Emphasizes Encryption, Action on Risk Analysis - AHLA Health Information and Technology...

On June 18, 2018, the U.S. Department of Health and Human Services (“HHS”) Office for Civil Rights (“OCR”) announced that an HHS Administrative Law Judge (“ALJ”) granted summary judgment to OCR in an enforcement action...more

McGuireWoods LLP

Supreme Court to Decide Constitutionality of SEC Administrative Judge Hiring Process

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The U.S. Supreme Court will decide a longstanding controversy regarding the validity of the appointment process for Securities and Exchange Commission (SEC) administrative law judges (ALJs). The decision will impact the...more

Best Best & Krieger LLP

Legislation to Alter State Water Rights Enforcement Action Processes Fails

Best Best & Krieger LLP on

California Gov. Jerry Brown vetoed AB 313, which would have shifted the hearing process for certain water rights enforcement actions to a new Water Rights Division within the Office of Administrative Hearings. However, his...more

Dorsey & Whitney LLP

DC Circuit: No Jurisdiction For Suits Re SEC Forum Selection Choice

Dorsey & Whitney LLP on

Suits challenging the SEC’s forum selection decisions continue to proliferate. As the trend has unfolded the Commission posted a memo on its website discussing the issue of forum selection and has proposed modifications to...more

The Volkov Law Group

Slowing Down the SEC Administrative Train

The Volkov Law Group on

I am convinced that the law eventually reaches the “right” solution. There may be disastrous detours along the way, but in the end the law will adapt to reach the right result. Of course, our history is replete with instances...more

Goodwin

Federal Court Deflates, For Now, SEC’s Efforts to Proceed Before Its In-house Courts

Goodwin on

A federal judge in Manhattan recently granted a preliminary injunction against the Securities and Exchange Commission in the latest of a series of rulings raising issues with the SEC’s use of in-house proceedings before its...more

K&L Gates LLP

CFPB Issues Final Decision in In Re: PHH Corp.: First Agency Decision in Contested Administrative Proceeding

K&L Gates LLP on

Earlier this month, the Consumer Financial Protection Bureau (CFPB) issued the Director’s final decision in the CFPB’s enforcement action against PHH Corp. (PPH). The decision is the agency’s first ruling in a contested...more

Parker Poe Adams & Bernstein LLP

The SEC Justifies its Home Court Advantage

In virtually every sport, playing on one’s “home court” is recognized as a distinct advantage over a visiting team as a result of playing on a familiar field and in front of rabid fans. The same is true in virtually every...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The question of forum selection by the SEC was a key issue this week. While to date suits challenging the SEC’s right to bring an action as an administrative proceeding rather than in federal court have had little success –...more

Stinson - Corporate & Securities Law Blog

Court Enters Preliminary Injunction Against SEC Administrative Proceeding

The United States District Court for the Northern District of Georgia, Atlanta Division, has entered a preliminary injunction preventing the SEC from conducting an administrative proceeding in an insider trading matter. The...more

Holland & Knight LLP

SEC Division of Enforcement Provides Guidance on Forum Selection

Holland & Knight LLP on

The SEC generally can bring enforcement actions in either of two forums – a civil action in federal District Court or an SEC administrative proceeding (and/or cease-and-desist proceeding) before an administrative law judge....more

WilmerHale

Litigating With - And At - The SEC

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Last year, the Enforcement Division of the SEC announced its intention to bring more enforcement actions in its own administrative forum rather than in federal court. The authors describe these administrative proceedings...more

Carlton Fields

Having it Both Ways: Does the SEC’s Enforcement Division Guidance on Forum Selection Do Anything More Than Foreshadow Increased...

Carlton Fields on

Earlier this month, the SEC’s Enforcement Division issued its “Approach to Forum Selection in Contested Actions.” This guidance comes at a time of heightened criticism regarding the SEC’s increasing reliance on administrative...more

Latham & Watkins LLP

SEC Enforcement Division Issues Guidance on Venue Selection

Latham & Watkins LLP on

Respondents in SEC enforcement actions increasingly will litigate a wide array of matters in administrative proceedings, rather than having their day in federal district court. In the wake of significant public...more

Proskauer - Corporate Defense and Disputes

Constitutional Challenges to SEC Administrative Proceedings

May defendants charged in SEC administrative proceedings challenge the constitutionality of those proceedings in federal district court? The determination of whether district courts have subject matter jurisdiction over such...more

Carlton Fields

Defendants Challenge SEC’s Increased Use of Administrative Forum

Carlton Fields on

The Dodd-Frank Act expanded the SEC’s jurisdiction to compel administrative hearings and to seek sanctions and remedies similar to those in federal court. The Commission’s recent policy of commencing more enforcement...more

Proskauer - Corporate Defense and Disputes

Critics Question SEC’s Increasing Use of Administrative Enforcement Proceedings

The SEC is increasingly bringing enforcement actions in its administrative forum rather than federal district court, setting the stage for a legal and policy battle over this tactic. The SEC’s approach has been made...more

Katten Muchin Rosenman LLP

Investment Adviser Challenges Constitutionality of SEC Administrative Proceedings

A registered investment adviser and its principal recently sued the Securities and Exchange Commission for declaratory and injunctive relief to stave off an imminent administrative enforcement action, alleging that the tenure...more

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