This is the new MLex platform. Existing customers should continue to use the existing MLex platform until migrated.
For any queries, please contact Customer Services or your Account Manager. Dismiss

SEC-sanctioned investment adviser asks Supreme Court to dismiss ALJ cases now on appeal

( February 22, 2018, 22:19 GMT | Official Statement) -- MLex Summary: Counsel for Raymond J. Lucia have asked the US Supreme Court to dismiss the proceedings against the investment adviser and others with pending judicial appeals contesting the constitutional status of the Securities and Exchange Commission's administrative law judges. The filing dated Feb. 21 argues that Lucia, who was sanctioned by the SEC for misleading investors, should at a minimum be entitled to a new hearing because the actions of an improperly appointed ALJ are "null and void."See document below....

Prepare for tomorrow’s regulatory change, today

MLex identifies risk to business wherever it emerges, with specialist reporters across the globe providing exclusive news and deep-dive analysis on the proposals, probes, enforcement actions and rulings that matter to your organization and clients, now and in the longer term.


Know what others in the room don’t, with features including:

  • Daily newsletters for Antitrust, M&A, Trade, Data Privacy & Security, Technology, AI and more
  • Custom alerts on specific filters including geographies, industries, topics and companies to suit your practice needs
  • Predictive analysis from expert journalists across North America, the UK and Europe, Latin America and Asia-Pacific
  • Curated case files bringing together news, analysis and source documents in a single timeline

Experience MLex today with a 14-day free trial.

Start Free Trial

Already a subscriber? Click here to login