Lucia v. SEC

U.S. Supreme Court

Question(s) Presented

Whether administrative law judges of the Securities and Exchange Commission are Officers of the United States within the meaning of the Appointments Clause.

Tab Group

Merits Stage

Supreme Court holds SEC violated Constitution in appointing administrative law judges

June 21, 2018

The Supreme Court issued a favorable 6-3 decision holding that the Securities and Exchange Commission (SEC) violated the Appointments Clause of the Constitution in naming administrative law judges (ALJs) to decide enforcement proceedings before the SEC.

The decision holds that the SEC’s ALJs are “officers” of the United States subject to the Appointments Clause of the Constitution, because ALJs have an ongoing position in the government that exercises significant governmental authority. Because they are officers, the SEC’s ALJs must be appointed by the head of their department (the Chairman of the SEC).

U.S. Chamber urges Supreme Court to hold that SEC administrative law judges are “officers” who must be appointed in accordance with the Appointments Clause

February 28, 2018

Click here to view the Chamber’s amicus brief.

Andrew J. Pincus and Karen W. Lin of Mayer Brown LLP served as co-counsel for the U.S. Chamber of Commerce on behalf of the U.S. Chamber Litigation Center.

Petition Stage

Cert. petition granted

January 12, 2018

U.S. Chamber urges Supreme Court to review constitutionality of appointment of administrative law judges

August 25, 2017

The U.S. Chamber urges the Supreme Court to review whether the SEC's method of appointing administrative law judges (“ALJs”) violates the Constitution's Appointments Clause. The Tenth Circuit held that SEC ALJs are “inferior officers” who were not constitutionally appointed, while the D.C. Circuit held that SEC ALJs are employees not subject to the Appointments Clause.

The Chamber’s amicus brief argued that SEC ALJs qualify as “inferior officers” because they exercise significant authority pursuant to the laws of the United States.

Andrew J. Pincus and Karen W. Lin of Mayer Brown LLP served as co-counsel for the U.S. Chamber of Commerce on behalf of the U.S. Chamber Litigation Center.