Duka v. U.S. Securities and Exchange Commission
Case Number:
1:15-cv-00357
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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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.
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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.
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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.
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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.
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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."
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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.
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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."
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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.
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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.
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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.