| No. 17-130 | |
| Title: | Raymond J. Lucia, et al., Petitioners v. Securities and Exchange Commission |
| Docketed: | July 26, 2017 |
| Lower Ct: | United States Court of Appeals for the District of Columbia Circuit |
| Case Numbers: | (15-1345) |
| Decision Date: | June 26, 2017 |
| Questions Presented | |
| 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. |
| Main Document | |
| 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. |
| Proof of ServiceMain Document | |
| Dec 13 2017 | DISTRIBUTED for Conference of 1/5/2018. |
| Dec 13 2017 | Reply of petitioners Raymond J. Lucia, et al. filed. (Distributed) |
| Main DocumentProof of ServiceCertificate of Word Count | |
| 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.. |
| Blanket Consent | |
| 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. |
| Main Document | |
| 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 |
| Blanket Consent | |
| Feb 08 2018 | Motion to dispense with printing the joint appendix filed by petitioners Raymond J. Lucia, et al. |
| Main DocumentProof of Service | |
| 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. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 21 2018 | Brief of respondent Securities and Exchange Commission in support of petitioners filed. |
| Main DocumentProof of Service | |
| Feb 21 2018 | Brief amicus curiae of Cato Institute filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 22 2018 | Brief amicus curiae of Anthony Michael Sabino filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 23 2018 | SET FOR ARGUMENT on Monday, April 23, 2018. |
| Feb 23 2018 | Brief amicus curiae of SHOW, Inc. filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 26 2018 | Brief amicus curiae of Federal Administrative Law Judges Conference in support of neither party filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 27 2018 | Brief amicus curiae of Pacific Legal Foundation filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 27 2018 | Brief amicus curiae of The Forum of United States Administrative Law Judges in support of neither party filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 28 2018 | Brief amicus curiae of Washington Legal Foundation filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 28 2018 | Brief amicus curiae of The Chamber of Commerce of the United States filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 28 2018 | Brief amici curiae of Administrative Law Scholars in support of neither party filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 28 2018 | Brief amici curiae of States of Utah, et al. filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 28 2018 | Brief amicus curiae of Professor Jennifer L. Mascott filed. |
| Main DocumentCertificate of Word CountCertificate of Word Count | |
| Feb 28 2018 | Brief amici curiae of RD Legal Capital, LLC and Roni Dersovitz filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 28 2018 | Brief amici curiae of J.S. Oliver Capital Management, L.P. and Ian O. Mausner filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 28 2018 | Brief amici curiae of Urska Velikonja and Joseph A. Grundfest in support of neither party filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 28 2018 | Brief amicus curiae of Wing F. Chau filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 28 2018 | Brief amicus curiae of Equity Dealers of America filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 28 2018 | Brief amicus curiae of Scholars of Corpus Linguistics filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Feb 28 2018 | Brief amicus curiae of New Civil Liberties Alliance filed. |
| Main DocumentCertificate of Word CountProof of Service | |
| Mar 07 2018 | CIRCULATED |
| Mar 26 2018 | Brief of Court-appointed amicus curiae in suport of the judgment below filed. (Distributed) |
| Main DocumentCertificate of Word CountProof of Service | |
| 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. |
| Proof of ServiceMain Document | |
| Mar 30 2018 | Record requested from the U.S.C.A. District of Columbia Circuit. |
| Apr 02 2018 | Brief amici curiae of Constitutional and Administrative Law Scholars filed. (Distributed) |
| Main DocumentCertificate of Word CountProof of Service | |
| Apr 02 2018 | Brief amici curiae of David Zaring filed. (Distributed) |
| Main DocumentCertificate of Word CountProof of Service | |
| Apr 02 2018 | Brief amicus curiae of National Black Lung Association filed. (Distributed) |
| Main DocumentCertificate of Word CountProof of Service | |
| Apr 02 2018 | Brief amicus curiae of Association of Administrative Law Judges filed. (Distributed) |
| Main DocumentOtherCertificate of Word CountProof of Service | |
| Apr 02 2018 | Brief amicus curiae of Cornell Securities Law Clinic filed. (Distributed) |
| Main DocumentProof of ServiceCertificate of Word Count | |
| Apr 02 2018 | Brief amicus curiae of American Federation of Labor and Congress of Industrial Organizations filed. (Distributed) |
| Main DocumentCertificate of Word CountProof of Service | |
| Apr 02 2018 | Brief amicus curiae of National Organization of Social Security Claimants' Representatives filed. (Distributed) |
| Main DocumentCertificate of Word CountProof of Service | |
| 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) |
| Main DocumentCertificate of Word CountProof of Service | |
| Apr 16 2018 | Reply of respondent Securities and Exchange Commission in support of petitioners filed. (Distributed) |
| Proof of ServiceMain Document | |
| 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. |
| NAME | ADDRESS | PHONE |
| Attorneys for Petitioners | ||
| Mark Andrew Perry Counsel of Record | Gibson Dunn & Crutcher, LLP 1050 Connecticut Avenue, NW Washington, DC 20036-5306 mperry@gibsondunn.com | 202-955-8500 |
| Party name: Raymond J. Lucia, et al. | ||
| Attorneys for Respondent | ||
| Noel J. Francisco Counsel of Record | Solicitor General United States Department of Justice 950 Pennsylvania Avenue, NW Washington, DC 20530-0001 oldSupremeCtBriefs@USDOJ.gov | 202-514-2217 |
| Party name: Securities and Exchange Commission | ||
| Other | ||
| Cory L. Andrews Counsel of Record | Washington Legal Foundation 2009 Massachusetts Avenue, N.W. Washington, DC 20036 candrews@wlf.org | 2025880302 |
| Party name: Washington Legal Foundation | ||
| Gerald Marvin Bober Counsel of Record | 3909 Long Trail Way Reisterstown, MD 21136 judginator@gmail.com | 4108336303 |
| Party name: The Forum of United States Administrative Law Judges | ||
| Rowland David Broiles Counsel of Record | David Broiles 2400 Indian Cove Fort Worth, TX 76108 davidbroiles@gmail.com | 817-246-7801 |
| Party name: Show, Inc. | ||
| William Spencer Consovoy Counsel of Record | 3033 Wilson Boulevard Suite 700 Arlington, VA 22201 will@consovoymccarthy.com | 5712169450 |
| Party name: Professor Jennifer L. Mascott | ||
| Ruthanne Mary Deutsch Counsel of Record | Deutsch Hunt, PLLC 300 New Jersey Ave., NW, Suite 900 Washington, DC 20001 rdeutsch@deutschhunt.com | 2028686915 |
| Party name: Association of Administrative Law Judges | ||
| Oliver J. Dunford Counsel of Record | Pacific Legal Foundation 930 G Street Sacramento, CA 95814 odunford@pacificlegal.org | 916-419-7111 |
| Party name: Pacific Legal Foundation | ||
| Ilana Hope Eisenstein Counsel of Record | DLA Piper LLP (US) One Liberty Place 1650 Market Street, Suite 4900 Philadelphia, PA 19109 ilana.eisenstein@dlapiper.com | 215-656-3300 |
| Party name: Equity Dealers of America | ||
| Albert Quoc Giang Counsel of Record | Boies Schiller Flexner LL P 725 S. Figueroa Street 31st Floor Los Angeles, CA 90017 agiang@bsfllp.com | 2136299040 |
| Party name: RD Legal Capital, LLC and Roni Dersovitz | ||
| Brianne Jenna Gorod Counsel of Record | Constitutional Accountability Center 1200 18th Street, NW Suite 501 Washington, DC 20036 brianne@theusconstitution.org | 202 296 6889 |
| Party name: Constitutional and Administrative Law Scholars | ||
| Tyler Green Counsel of Record | Utah Solicitor General 350 N. State Street, Suite 230 Salt Lake City, UT 84114-2320 tylergreen@agutah.gov | (801) 538-9600 |
| Party name: States of Utah, et al. | ||
| William Alan Jacobson Counsel of Record | Cornell Securities Law Clinic Cornell Law School 138 Hughes Hall Ithaca, NY 14853 waj24@cornell.edu | 607-255-6293 |
| Party name: Cornell Securities Law Clinic | ||
| Alex Lipman Counsel of Record | Brown Rudnick, LLP Seven Times Square Seven Times Square New York, NY 10036 alipman@brownrudnick.com | 212-209-4800 |
| Party name: Mark Cuban | ||
| Alex Lipman Counsel of Record | Brown Rudnick, LLP Seven Times Square New York, NY 10036 alipman@brownrudnick.com | 212-209-4800 |
| Party name: Wing F. Chau | ||
| Katharine Minkel Mapes Counsel of Record | Spiegel & McDiarmid LLP 1875 Eye Street, NW, Suite 700 Washington, DC 20006 Katharine.mapes@spiegelmcd.com | 202-879-4000 |
| Party name: David Zaring | ||
| Anton Metlitsky Counsel of Record | Times Square Tower 7 Times Square New York, NY 10036 ametlitsky@omm.com | 212-326-2000 |
| Party name: Court-appointed amicus curiae in suport of the judgment below | ||
| Jonathan F. Mitchell Counsel of Record | 559 Nathan Abbott Way Stanford, CA 94305 jfmitche@stanford.edu | (650) 723-1397 |
| Party name: New Civil Liberties Alliance | ||
| Andrew Joseph Morris Counsel of Record | Orrick, Herrington & Sutcliffe LLP 1152 15th St. NW Washington, DC 20005 amorris@orrick.com | 202-339-8400 |
| Party name: J.S. Oliver Capital Management, L.P. and Ian O. Mausner | ||
| Richard James Pierce Jr. Counsel of Record | George Washington University School of Law 2000 H Street, N.W. Washington, DC 20052 rpierce@law.gwu.edu | 7033041623 |
| Party name: Administrative Law Scholars | ||
| Andrew John Pincus Counsel of Record | Mayer Brown, LLP 1999 K Street, NW Washington, DC 20006 apincus@mayerbrown.com | (202) 263-3000 |
| Party name: The Chamber of Commerce of the United States | ||
| Anthony Michael Sabino Counsel of Record | Sabino & Sabino, P.C. 92 Willis Avenue, 2nd Floor Mineola, NY 11501 anthony.sabino@sabinolaw.com | 516-294-3199 |
| Party name: Anthony Michael Sabino | ||
| Stephen Arthur Sanders Counsel of Record | Appalachian Citizens Law Ctr. 317 Main St. Whitesburg, KY 41858 steve@appalachianlawcenter.org | 6066333929 |
| Party name: National Black Lung Association | ||
| Gene Clayton Schaerr Counsel of Record | Schaerr | Duncan 1717 K Street NW, Suite 900 Washington, DC 20006 gschaerr@schaerr-duncan.com | 202-787-1060 |
| Party name: Scholars of Corpus Linguistics | ||
| Eric Schnaufer Counsel of Record | Eric Schnaufer, Attorney at Law, P.C. 1555 Sherman Ave. #303 Evanston, IL 60201 eric@schnaufer.com | 8477331232 |
| Party name: National Organization of Social Security Claimants' Representatives | ||
| Ilya Shapiro Counsel of Record | Cato Institute 1000 Massachusetts Ave., NW Washington, DC 20001 ishapiro@cato.org | 2028420200 |
| Party name: Cato Institute | ||
| John Michael Vittone Counsel of Record | 8101 Connecticut Avenue Apt. C-303 Chevy Chase, MD 20815 vittone.john@gmail.com | 3015850592 |
| Party name: Federal Administrative Law Judges Conference | ||
| Brian Wolfman Counsel of Record | Georgetown Law Appellate Courts Immersion Clinic 600 New Jersey Avenue, NW Room 312 Washington, DC 20001 wolfmanb@georgetown.edu | 202-661-6582 |
| Party name: Urksa Velikonja and Joseph A. Grundfest | ||