Duka v. U.S. Securities and Exchange Commission

  1. September 17, 2015

    Judge Keeps Block On SEC In-House Case Against S&P Exec

    A New York federal judge on Thursday refused to halt an injunction he issued blocking a U.S. Securities and Exchange Commission in-house case against former Standard & Poor Executive Barbara Duka, saying her constitutional challenge is likely to succeed.

  2. September 16, 2015

    Duka Judge Eyes Stay Pending Result Of Tilton-SEC Appeal

    U.S. District Judge Richard M. Berman expressed an inclination Wednesday to stay former Standard & Poor's executive Barbara Duka's constitutional challenge to the U.S. Securities and Exchange Commission's administrative case against her until the Second Circuit rules in a similar matter involving distressed-debt investment executive Lynn Tilton.

  3. September 14, 2015

    Judge Notes 'Irony' Of SEC Stance On In-House Court Spat

    The U.S. Securities and Exchange Commission should be required to answer a complaint by a former Standard & Poor's executive over its in-house court, attorneys for the executive wrote on Monday after a New York federal judge said he sees "irony" in the agency's attempt to delay producing the document.

  4. September 02, 2015

    Ex-S&P Exec Argues To Keep Injunction On SEC Case

    The U.S. Securities and Exchange Commission's use of in-house courts is unconstitutional, a former ratings executive at Standard & Poor's told a New York federal judge Tuesday, urging him to stand behind an injunction that came among this summer's flurry of rulings against the controversial practice.

  5. August 27, 2015

    SEC Appeals Latest Loss Over Admin Judges To 2nd Circ.

    The U.S. Securities and Exchange Commission on Thursday appealed to the Second Circuit a New York federal judge's decision to block its in-house case against a former Standard & Poor's Ratings Services executive, in which the court said the agency's process for appointing judges is "likely unconstitutional."

  6. August 13, 2015

    SEC Mulling Appeal Of Latest Loss In Admin Court Challenge

    The U.S. Securities and Exchange Commission is "actively considering" an appeal of a New York federal judge's Wednesday decision to block one of its administrative cases, in a bid to reverse the agency's latest loss in a string of suits challenging the constitutionality of its in-house forum.

  7. August 12, 2015

    SEC Admin Judges 'Likely Unconstitutional', NY Judge Says

    A New York federal judge on Wednesday blocked a U.S. Securities and Exchange Commission in-house case against a former Standard & Poor's Ratings Services executive, saying the agency's process for appointing judges is "likely unconstitutional."

  8. August 10, 2015

    SEC Plans To Move Forward On Ex-S&P Exec's In-House Trial

    The U.S. Securities and Exchange Commission plans to move forward with its in-house case against a former Standard & Poor's Ratings Services executive without changing the hiring process for its administrative law judges, attorneys for the agency told a New York federal judge Monday.

  9. August 03, 2015

    SEC Won't Back Down After Latest In-House Court Setback

    An ultimatum from a New York federal judge on Monday gives the U.S. Securities and Exchange Commission another reason to reconsider an aspect of how its controversial in-house court is run, yet attorneys expect the agency won't give up so easily and address what another federal jurist has said is an "easily cured" problem.

  10. August 03, 2015

    SEC Loses Bid To Dismiss Ex-S&P Exec's Complaint

    The U.S. Securities and Exchange Commission on Monday was foiled in its attempts to block a former Standard & Poor's executive from countersuing it after a New York federal judge denied the agency's request to dismiss the lawsuit brought over the constitutionality of its in-house court.