Lucia v. Securities and Exchange Commission
| Docket No. | Op. Below | Argument | Opinion | Vote | Author | Term |
|---|---|---|---|---|---|---|
| 17-130 | D.C. Cir. | Apr 23, 2018 | Jun 21, 2018 | 7-2 | Kagan | OT 2017 |
Holding: Securities and Exchange Commission administrative law judges are “officers of the United States,” subject to the Constitution’s appointments clause.
Judgment: Reversed and remanded, 7-2, in an opinion by Justice Kagan on June 21, 2018. Justice Thomas filed a concurring opinion, in which Justice Gorsuch joined. Justice Breyer filed an opinion concurring in the judgment in part and dissenting in part, in which Justices Ginsburg and Sotomayor joined as to Part III. Justice Sotomayor filed a dissenting opinion, in which Justice Ginsburg joined.
SCOTUSblog Coverage
- OT2017 #30: "Most Ambitious Crossovers" (First Mondays, June 25, 2018)
- Symposium: The court begins to strike back at the administrative state (Ilya Shapiro, June 22, 2018)
- Symposium: The appointments clause -- a modest take (Jennifer Mascott, June 22, 2018)
- Symposium: Minimalism with radical potential (Gillian Metzger, June 22, 2018)
- Symposium: Lucia v. SEC – more questions than answers (Alan Morrison, June 22, 2018)
- A "view" from the courtroom: Inching toward checkout for the term (Mark Walsh, June 21, 2018)
- Symposium: Constitutional dodgeball and the separation of powers (Peter Shane, June 21, 2018)
- Symposium: The future of the appointments clause (Jeffrey McCoy and Oliver Dunford, June 21, 2018)
- Opinion analysis: Justices invalidate civil-service appointments of administrative law judges (Ronald Mann, June 21, 2018)
- OT2017 #23: "After Dark" (First Mondays, April 30, 2018)
- Argument analysis: Justices worry about politicizing administrative law judges (Ronald Mann, April 23, 2018)
- Argument preview: Justices turn to constitutional limits on appointment of administrative law judges (Ronald Mann, April 16, 2018)
- Court bulks up this term’s docket (UPDATED) (Amy Howe, January 12, 2018)
- OT2017 #8: "Bespoke but Blank" (First Mondays, December 4, 2017)
- Petition of the day (Aurora Barnes, September 12, 2017)
| Date | Proceedings and Orders |
|---|---|
| Jul 21 2017 | Petition for a writ of certiorari filed. (Response due August 25, 2017) |
| Jul 28 2017 | Blanket Consent filed by Petitioners, Raymond J. Lucia, et al. on 07/31/2017 |
| Aug 16 2017 | Order extending time to file response to petition to and including September 25, 2017. |
| Aug 25 2017 | Brief amicus curiae of The Chamber of Commerce of the United States filed. |
| Aug 25 2017 | Brief amicus curiae of Pacific Legal Foundation filed. |
| Aug 25 2017 | Brief amicus curiae of Mark Cuban filed. |
| Aug 25 2017 | Brief amicus curiae of Cato Institute filed. |
| Sep 14 2017 | Order further extending time to file response to petition to and including October 25, 2017. |
| Sep 19 2017 | Brief amicus curiae of Anthony Michael Sabino filed. |
| Oct 17 2017 | Letter of October 17, 2017 from counsel for petitioners received. |
| Oct 18 2017 | Order further extending time to file response to petition to and including November 15, 2017. |
| Nov 14 2017 | Motion to extend the time to file a response from November 15, 2017 to November 29, 2017, submitted to The Clerk. |
| Nov 14 2017 | Order further extending time to file response to petition to and including November 29, 2017. |
| Nov 29 2017 | Brief of respondent Securities and Exchange Commission filed. |
| Dec 13 2017 | DISTRIBUTED for Conference of 1/5/2018. |
| Dec 13 2017 | Reply of petitioners Raymond J. Lucia, et al. filed. (Distributed) |
| Jan 08 2018 | DISTRIBUTED for Conference of 1/12/2018. |
| Jan 12 2018 | Petition GRANTED. |
| Jan 16 2018 | Blanket Consent filed by Petitioners, Raymond J. Lucia, et al.. |
| Jan 18 2018 | Anton Metlitsky, Esquire, of New York, New York, is invited to brief and argue this case, as amicus curiae, in support of the judgment below. |
| Jan 26 2018 | Letter of petitioners Raymond J. Lucia, et al. on behalf of the parties filed. |
| Feb 07 2018 | The joint appendix, petitioners' brief on the merits, and brief of respondent Securities and Exchange Commission shall be filed on or before February 21, 2018. Any amicus curiae briefs in support of petitioners or in support of neither party shall be filed on or before February 28, 2018. |
| Feb 07 2018 | The brief of Court-Appointed amicus curiae in support of the judgment below shall be filed on or before March 26, 2018. Any other amicus curiae brief supporting affirmance (the judgment below) shall be filed on or before April 2, 2018. |
| Feb 07 2018 | Blanket Consent filed by Respondent, Securities and Exchange Commission |
| Feb 08 2018 | Motion to dispense with printing the joint appendix filed by petitioners Raymond J. Lucia, et al. |
| Feb 20 2018 | Motion to dispense with printing the joint appendix filed by petitioners GRANTED. |
| Feb 21 2018 | Brief of petitioners Raymond J. Lucia, et al. filed. |
| Feb 21 2018 | Brief of respondent Securities and Exchange Commission in support of petitioners filed. |
| Feb 21 2018 | Brief amicus curiae of Cato Institute filed. |
| Feb 22 2018 | Brief amicus curiae of Anthony Michael Sabino filed. |
| Feb 23 2018 | SET FOR ARGUMENT on Monday, April 23, 2018. |
| Feb 23 2018 | Brief amicus curiae of SHOW, Inc. filed. |
| Feb 26 2018 | Brief amicus curiae of Federal Administrative Law Judges Conference in support of neither party filed. |
| Feb 27 2018 | Brief amicus curiae of Pacific Legal Foundation filed. |
| Feb 27 2018 | Brief amicus curiae of The Forum of United States Administrative Law Judges in support of neither party filed. |
| Feb 28 2018 | Brief amicus curiae of Washington Legal Foundation filed. |
| Feb 28 2018 | Brief amicus curiae of The Chamber of Commerce of the United States filed. |
| Feb 28 2018 | Brief amici curiae of Administrative Law Scholars in support of neither party filed. |
| Feb 28 2018 | Brief amici curiae of States of Utah, et al. filed. |
| Feb 28 2018 | Brief amicus curiae of Professor Jennifer L. Mascott filed. |
| Feb 28 2018 | Brief amici curiae of RD Legal Capital, LLC and Roni Dersovitz filed. |
| Feb 28 2018 | Brief amici curiae of J.S. Oliver Capital Management, L.P. and Ian O. Mausner filed. |
| Feb 28 2018 | Brief amici curiae of Urska Velikonja and Joseph A. Grundfest in support of neither party filed. |
| Feb 28 2018 | Brief amicus curiae of Wing F. Chau filed. |
| Feb 28 2018 | Brief amicus curiae of Equity Dealers of America filed. |
| Feb 28 2018 | Brief amicus curiae of Scholars of Corpus Linguistics filed. |
| Feb 28 2018 | Brief amicus curiae of New Civil Liberties Alliance filed. |
| Mar 07 2018 | CIRCULATED |
| Mar 26 2018 | Brief of Court-appointed amicus curiae in suport of the judgment below filed. (Distributed) |
| Mar 30 2018 | Record requested from the U.S.C.A. District of Columbia Circuit. |
| Mar 30 2018 | Motion of the Solicitor General for divided argument filed. |
| Apr 02 2018 | Brief amici curiae of Constitutional and Administrative Law Scholars filed. (Distributed) |
| Apr 02 2018 | Brief amici curiae of David Zaring filed. (Distributed) |
| Apr 02 2018 | Brief amicus curiae of National Black Lung Association filed. (Distributed) |
| Apr 02 2018 | Brief amicus curiae of Association of Administrative Law Judges filed. (Distributed) |
| Apr 02 2018 | Brief amicus curiae of Cornell Securities Law Clinic filed. (Distributed) |
| Apr 02 2018 | Brief amicus curiae of American Federation of Labor and Congress of Industrial Organizations filed. (Distributed) |
| Apr 02 2018 | Brief amicus curiae of National Organization of Social Security Claimants' Representatives filed. (Distributed) |
| Apr 13 2018 | Motion of the Solicitor General for divided argument GRANTED. |
| Apr 13 2018 | Reply of petitioners Raymond J. Lucia, et al. filed. (Distributed) |
| Apr 16 2018 | Reply of respondent Securities and Exchange Commission in support of petitioners filed. (Distributed) |
| Apr 16 2018 | Record received from the United States Securities and Exchange Commission. The record is electronic. |
| Apr 23 2018 | Argued. For petitioners: Mark Perry, Washington, D. C. For respondent in support of petitioners: Jeffrey B. Wall, Deputy Solicitor General, Department of Justice, Washington, D. C. For Court-appointed amicus curiae in support of the judgment below: Anton Metlitsky, New York, N. Y. |
| Jun 21 2018 | Judgment REVERSED and case REMANDED. Kagan, J., delivered the opinion of the Court, in which Roberts, C. J., and Kennedy, Thomas, Alito, and Gorsuch, JJ., joined. 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. Sotomayor, J., filed a dissenting opinion, in which Ginsburg, J., joined. |
| Jul 23 2018 | JUDGMENT ISSUED. |
