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Statutory Interpretation – Appointments Clause

By: Derek Hawkins//July 11, 2018//

Statutory Interpretation – Appointments Clause

By: Derek Hawkins//July 11, 2018//

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United States Supreme Court

Case Name: Lucia, et al. v. Securities and Exchange Commission

Case No.: 17-130

Focus: Statutory Interpretation – Appointments Clause

The Appointments Clause of the Constitution lays out the permissible methods of appointing “Officers of the United States,” a class of government officials distinct from mere employees. Art. II, §2, cl. 2. This case requires us to decide whether administrative law judges (ALJs) of the Securities and Exchange Commission (SEC or Commission) qualify as such “Officers.” In keeping with Freytag v. Commissioner, 501 U. S. 868 (1991), we hold that they do.

Reversed and Remanded

Dissenting: SOTOMAYOR, J., filed a dissenting opinion, in which GINSBURG, J., joined.  BREYER, J., filed an opinion concurring in the judgment in part and dissenting in part, in which GINSBURG and SOTOMAYOR, JJ., joined as to Part III.

Concurring: THOMAS, J., filed a concurring opinion, in which GORSUCH, J., joined. BREYER, J., filed an opinion concurring in the judgment in part and dissenting in part, in which GINSBURG and SOTOMAYOR, JJ., joined as to Part III.

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Attorney Derek A. Hawkins is the managing partner at Hawkins Law Offices LLC, where he heads up the firm’s startup law practice. He specializes in business formation, corporate governance, intellectual property protection, private equity and venture capital funding and mergers & acquisitions. Check out the website at www.hawkins-lawoffices.com or contact them at 262-737-8825.

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