John "Luke" Pizzato

John "Luke" Pizzato

Kramer Levin Naftalis & Frankel LLP

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The Supreme Court Will Review District Court Jurisdiction Over Constitutional Challenges to SEC ALJs | Fifth Circuit Holds SEC ALJ...

This alert addresses proceedings in two SEC securities enforcement actions emanating out of the Fifth Circuit. Both pose issues relating to the SEC’s power to bring enforcement proceedings in front of in-house administrative...more

5/27/2022  /  Administrative Law Judge (ALJ) , Administrative Proceedings , Appointments Clause , Constitutional Challenges , Lucia v SEC , PCAOB , SCOTUS , Securities and Exchange Commission (SEC) , Seventh Amendment

Creating Circuit Split, Fifth Circuit Rules District Court May Hear Constitutional Challenge to SEC Enforcement Action

On Dec. 13, 2021, an en banc panel of the Fifth Circuit held that the Securities Exchange Act of 1934 (Exchange Act) does not preclude federal district courts from exercising subject matter jurisdiction over constitutional...more

12/20/2021  /  Administrative Law Judge (ALJ) , Appointments Clause , Constitutional Challenges , Enforcement Actions , Officers of the United States , PCAOB , Securities and Exchange Commission (SEC) , Securities Exchange Act , Subject Matter Jurisdiction
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