Constitutionality of Administrative Law Judges at the SEC and Elsewhere 11-12-2015




Federalist Society Event Audio show

Summary: The Securities and Exchange Commission (SEC) has recently increased its use of administrative proceedings, before Administrative Law Judges (ALJs), to seek civil penalties, as an alternative to proceeding in an Article III court. Other federal regulatory and enforcement agencies use ALJs for various purposes at various rates. Although no single set of rules governs all ALJs, they typically differ from Article III courts in important ways, bringing their use under recent criticism. As two examples, ALJs do not enjoy life tenure and they are sometimes employed by and answerable to the agency itself. Our panel will discuss the pros and cons of the use of ALJs at the SEC and other agencies. -- This panel was presented at the 2015 National Lawyers Convention on Thursday, November 12, 2015, at the Mayflower Hotel in Washington, DC. -- Featuring: Prof. John S. Baker, Jr., Visiting Professor, Georgetown University Law Center; Mr. Stephen J. Crimmins, Shareholder, Murphy & McGonigle PC; Prof. Todd E. Pettys, H. Blair and Joan V. White Chair in Civil Litigation, University of Iowa College of Law; and Prof. Tuan Samahon, Villanova University School of Law. Moderator: Hon. F. Scott Kieff, Commissioner, International Trade Commission.