Fields v. U.S. Securities and Exchange Commission

Filing 8

MEMORANDUM Opinion and Order Signed by the Honorable Matthew F. Kennelly on 3/22/2013:Judicial staff maield notice(gl, )

IN THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF ILLINOIS
EASTERN DIVISION

ANTHONY FIELDS,
Plaintiff,
vs.
U.S. SECURITIES AND
EXCHANGE COMMISSION,

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Case No. 13 C 1301

Defendant.

MEMORANDUM OPINION AND ORDER
MATTHEW F. KENNELLY, District Judge:
Anthony Fields has filed a pro se lawsuit against the US Securities and
Exchange Commission (SEC). Mr. Fields was the subject of an SEC administrative
proceeding. He alleges that in December 2012, an SEC administrative law judge
dismissed a charged that he had violated an ethics code but also fined him and
permanently prohibited him from acting as a securities broker or dealer. He says that
the order was “vague and failed to address . . . allegations of selling fraudulent
securities or trying to buy and sell fictitious securities on the social media.” Compl. ¶ 7.
Mr. Fields has sued the SEC for defamation (Count 1), slander (Count 2), libel
(Count 3), and “undue hardship” (Count 4). The latter claim also amounts to a claim of
defamation. See Compl. ¶¶ 29 & 37.
The Court lacks jurisdiction over Mr. Fields’ claims. The Federal Tort Claims Act
(FTCA), which is a limited waiver of the United States' sovereign immunity, provides the

exclusive remedy for lawsuits against the federal government or its agencies. See 28
U.S.C. §2679. The FTCA, however, does not authorize claims against government
agencies for intentional torts, including any type of defamation. See, e.g., Apampa v.
Layng, 157 F.3d 1103, 1104 (7th Cir. 1998). Mr. Fields’ claims are therefore barred by
the government’s sovereign immunity from suit. The Court therefore lacks jurisdiction
over his suit against the SEC.
Conclusion
For the reasons stated above, the Court directs the Clerk to enter judgment
dismissing this action for lack of subject matter jurisdiction.

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MATTHEW F. KENNELLY
United States District Judge
Date: March 22, 2013

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