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SEC Judges' Due Process An 'Empty Promise,' 5th Circ. Told

September 4, 2019
An accountant alleging the U.S. Securities and Exchange Commission’s in-house judges are unconstitutionally protected from removal has told the Fifth Circuit that a U.S. Supreme Court ruling suggests a lower court was wrong… Read the full article here.  TweetShareShare0 Shares
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DC Group Sues to Stop Arizona Agency Chiefs From Overruling Administrative Law Judges

September 2, 2019
A Washington, D.C., organization is challenging the ability of the heads of state agencies in Arizona to discard the conclusions of independent hearing officers. The new lawsuit filed Friday in Maricopa County Superior Court contends that a caregiver at a group home was denied his rights when Greg McKay, director of the Department of Child…
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Lucia's Latest ALJ Fight Thrown Out Of Federal Court

August 22, 2019
Raymond Lucia, who successfully argued to the U.S. Supreme Court that the U.S. Securities and Exchange Commission‘s administrative law judges had been appointed unconstitutionally, was less triumphant in California federal court on Wednesday… Read the full article here.  TweetShareShare0 Shares
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SEC Defends Its Judges' Removal Protections At 5th Circ.

August 12, 2019
The U.S. Securities and Exchange Commission defended its in-house judges Friday, telling the Fifth Circuit the U.S. solicitor general has explained the processes for removing the agency’s administrative law judges can be interpreted as constitutional… Read the full article here.  TweetShareShare0 Shares
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Five Places in Miami Where You're Being Surveilled

August 11, 2019
Protecting your private data in 2019 is a struggle, to say the least. Even something as innocuous as an app that makes your face look old might secretly store all of your photos and create a database of faces in a Russian basement somewhere. It’s next to impossible to track who’s gotten hold of your…
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WSJ Letter to the Editor in Response to NCLA Commentary: The SEC Should Follow Its Own Rules for Guidance

August 6, 2019
Mark Chenoweth’s and Peggy Little’s “Secret Laws for the Powerful” (op-ed, July 24) focuses on regulation without notice-and-comment rule-making. Unfortunately, despite the Trump administration’s pronouncements to the contrary, this practice continues. The Securities and Exchange Commission’s Share Class Selection Disclosure Initiative is a headline-grabbing example in which 79 financial institutions were faulted for not taking…
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