Bernerd Young v. SEC ( 2020 )


Menu:
  •  United States Court of Appeals
    FOR THE DISTRICT OF COLUMBIA CIRCUIT
    Argued December 16, 2019              Decided April 28, 2020
    No. 16-1149
    BERNERD E. YOUNG,
    PETITIONER
    v.
    SECURITIES AND EXCHANGE COMMISSION,
    RESPONDENT
    On Petition for Review of an Order of
    the Securities & Exchange Commission
    Minh Nguyen-Dang, appointed by the court, argued the
    cause as amicus curiae for petitioner. On the brief was Brian
    D. Netter, appointed by the court.
    Bernerd E. Young, pro se, argued the cause and filed the
    briefs for petitioner.
    Dina B. Mishra, Senior Counsel, U.S. Securities and
    Exchange Commission, argued the cause for respondent. With
    her on the brief were Mark R. Freeman, Mark B. Stern, and
    Daniel Aguilar, Attorneys, U.S. Department of Justice,
    Michael A. Conley, Solicitor, U.S. Securities and Exchange
    Commission, and Dominick V. Freda, Assistant General
    2
    Counsel. Lisa K. Helvin, Attorney, U.S. Securities and
    Exchange Commission, entered an appearance.
    Before: WILKINS, Circuit Judge, and WILLIAMS and
    SENTELLE, Senior Circuit Judges.
    Opinion for the court filed by Circuit Judge WILKINS.
    Opinion concurring in the judgment filed by Senior Circuit
    Judge WILLIAMS.
    WILKINS, Circuit Judge: In 2012 the Securities and
    Exchange Commission prosecuted Bernerd Young for multiple
    securities violations based on his participation in a multi-billion
    dollar Ponzi scheme between 2006 and 2009, during the height
    of the financial crisis. After a hearing, an administrative law
    judge (ALJ) found him liable on most of the charges and
    imposed various penalties, including disgorgement of nearly
    $600,000, which represented about half of the compensation he
    received between 2006 and 2009. The Commission affirmed
    the ALJ’s decision, and Young filed a petition for review.
    However, he filed his petition in the District of Columbia Court
    of Appeals, which is the wrong court. By the time he realized
    his mistake and filed the petition in our Court, the sixty-day
    deadline for filing had passed.
    We do not pass upon whether the statutory time limit to
    file a petition for review is jurisdictional and subject to
    equitable tolling. Instead, we conclude that, even assuming it
    is a non-mandatory claims processing rule, Young has failed to
    demonstrate entitlement to equitable tolling. Filing a petition
    for review in a state court that clearly lacks jurisdiction over
    the petition does not toll the deadline for filing in our Court.
    And because no extraordinary circumstance beyond his control
    3
    prevented him from timely filing in our Court, he is not entitled
    to equitable tolling, and we must dismiss his petition.
    I.
    From 2006 to 2009, Bernerd Young was the Chief
    Compliance Officer at Stanford Group Company (“SGC”).
    SGC was an affiliate of Stanford Financial Group (“SFG”), a
    network of companies controlled by Allen Stanford. Based in
    Houston, SGC was a dually registered investment adviser and
    broker-dealer that heavily marketed to U.S. investors so-called
    “certificates of deposit” (“CDs”). These CDs were issued by
    another SFG affiliate: Stanford International Bank Limited
    (“SIB”), an offshore Antiguan bank established by Allen
    Stanford.     As Chief Compliance Officer, Young was
    responsible for ensuring the accuracy of SGC’s statements in
    promoting these CDs. The CDs, which accounted for 55.38%
    of SGC’s revenue between 2006 and 2009, purported to be
    “invested in diversified and liquid holdings” that generated
    “consistent above-market returns” for investors. J.A. 166. In
    fact, however, SIB was operating a Ponzi scheme.
    SIB supported its CDs with “detailed marketing materials
    and annual reports showing steady growth.” United States v.
    Stanford, 
    805 F.3d 557
    , 564 (5th Cir. 2015). Meanwhile, Allen
    Stanford “spent lavishly, purchasing boats, mansions, and
    personal aircraft and sponsoring high-dollar cricket
    tournaments.” 
    Id.
     The scheme collapsed in 2009, when new
    CD investments became insufficient to cover the interest and
    redemption payments owed to current SIB investors. 
    Id.
     The
    Commission promptly instituted a civil action against Allen
    Stanford, SIB, and other companies and persons involved in the
    sale and promotion of the CDs, alleging an $8 billion
    fraudulent scheme. In March 2012, Stanford was convicted of
    numerous federal crimes and sentenced to 110 years in prison,
    4
    
    id. at 565
    , and he was later ordered to disgorge $5.9 billion in
    ill-gotten gains, SEC v. Stanford Int’l Bank, Ltd., et.al., No.
    3:09-CV-0298-N, 
    2013 WL 12360438
    , at *5 (N.D. Tex. Apr.
    25, 2013).
    In August 2012, after a lengthy investigation, the
    Commission instituted proceedings against Young and two
    other former officers of SGC, charging them with various
    violations of federal securities laws. Young was represented
    by counsel before an ALJ. 1 Following a fifteen-day hearing, at
    which 26 witnesses testified and over 350 exhibits were
    presented, the ALJ issued an initial decision in August 2013,
    which found Young and the other two respondents liable on
    most of the charges.
    Specifically, the ALJ concluded that Young and the other
    two respondents negligently failed to conduct reasonable
    diligence in investigating the CDs. Despite this lack of
    diligence, Young and the respondents approved SGC’s use of
    materials that misrepresented material facts to investors about
    the liquidity of SIB’s underlying investment portfolio. Later,
    clients and potential clients began expressing concerns that
    SIB’s model was indicative of a Ponzi scheme akin to the one
    Bernie Madoff had recently been caught orchestrating, and that
    Antiguan regulators were being corruptly influenced by Allen
    Stanford. 2 The ALJ concluded that, after hearing these
    concerns, Young and the other respondents “decided that SGC
    should ‘attack’ with talking points,” rather than “investigate
    the[ir] possible truthfulness.” J.A. 51. As the ALJ explained,
    1
    At that time, “the Commission had left the task of appointing
    ALJs … to SEC staff members.” Lucia v. SEC, 
    138 S. Ct. 2044
    ,
    2050 (2018). Neither the President nor the Commission itself played
    any role in this selection and appointment process.
    2
    Indeed, Young himself admitted at the hearing that he suspected
    Antiguan regulators might be under Allen Stanford’s influence.
    5
    they “went on a damage control road show,” J.A. 52, designed
    to “lull customers so as to forestall redemptions and continue
    sales of the SIB CD.” J.A. 51.
    The ALJ imposed multiple sanctions against Young and
    the other two respondents. The ALJ (1) ordered them to cease
    and desist from committing or causing any future violations of
    the securities laws at issue; (2) imposed a civil penalty of
    $260,000; and (3) permanently barred them from working in
    the securities industry. In addition, the ALJ ordered Young to
    disgorge $591,992.46, or 55.38% of the $1,068,964.36 in
    payroll compensation he received from SGC between 2006 and
    2009.
    The other two respondents did not seek Commission
    review of the ALJ’s decision, but Young did. Now proceeding
    pro se, Young timely petitioned the Commission for review in
    September 2013. On March 24, 2016, the Commission issued
    a unanimous opinion and order affirming the ALJ’s decision
    and the penalties.
    Young had sixty days to seek review of the Commission’s
    decision, either from our Circuit or the circuit in which he
    resides or maintains his principal place of business. See 15
    U.S.C. §§ 77i(a), 78y(a)(1), 80b-13(a), and 80a-42(a). On May
    23, 2016, the last day to file, he filed a petition for review, but
    filed it with the wrong court – the District of Columbia Court
    of Appeals (DCCA). Young had previously contacted the
    DCCA and received instructions on how to file a petition there.
    On May 24, the DCCA contacted Young and informed him of
    his error. Young, who happened to be in Washington, D.C. at
    the time, retrieved his petition from the DCCA and refiled it in
    our Court later that same day – one day too late. Young’s
    petition was docketed, and we issued an order to show cause
    why the petition should not be dismissed for lack of
    6
    jurisdiction. After Young explained the circumstances, we
    discharged the order to show cause and directed the parties to
    address our jurisdiction in their merits briefs.
    During briefing, we granted the Commission’s motion to
    hold the case in abeyance pending the resolution of Lucia v.
    SEC, in which the Supreme Court ultimately held that SEC
    ALJs are “Officers of the United States” under the
    Appointments Clause, and that ALJs not appointed by the
    President were thus unconstitutionally appointed. 
    138 S. Ct. at 2053
    . Thereafter, the parties filed motions to govern further
    proceedings. In his motion, Young sought leave to file a
    supplemental brief addressing both Lucia and Kokesh v. SEC,
    in which the Supreme Court held that the five-year statute of
    limitations for any “action, suit or proceeding for the
    enforcement of any civil fine, penalty, or forfeiture, pecuniary
    or otherwise” applies to disgorgement imposed as a sanction
    for violating a federal securities law. 
    137 S. Ct. 1635
    , 1643
    (2017) (interpreting 
    28 U.S.C. § 2462
    ). Given the new
    complexity of the case, we appointed amicus curiae on March
    4, 2019 to present arguments in support of Young’s position,
    and we entered a new briefing schedule. The case is now ready
    for our consideration.
    II.
    Before we may consider the merits of Young’s petition,
    we must determine whether a basis exists to excuse his
    petition’s untimeliness.
    As an initial matter, Amicus argues that because Young’s
    petition complied with every requirement except for the place
    of filing, his petition was, in effect, in compliance with the
    sixty-day deadline. We disagree.
    7
    Amicus relies on Torres v. Oakland Scavenger Company,
    
    487 U.S. 312
    , 316-17 (1988), and Anderson v. District of
    Columbia, 
    72 F.3d 166
    , 167 (D.C. Cir. 1995) (per curiam), but
    these cases speak to petitions that are timely filed in the correct
    court but contain some technical defect. In Torres, the
    Supreme Court explained that where “a litigant files papers in
    a fashion that is technically at variance with the letter of a
    procedural rule, a court may nonetheless find that the litigant
    has complied with the rule if the litigant’s action is the
    functional equivalent of what the rule requires.” 
    487 U.S. at 316-17
     (citations omitted). Relying on this principle, our Court
    later held that an appellant who had “timely filed a notice of
    appeal in the district court but improperly designated the
    United States Supreme Court as the court to which the appeal
    was taken” had functionally complied with the filing
    requirements. Anderson, 
    72 F.3d at 167-68
     (“[A] defective
    notice of appeal does not warrant dismissal where the intention
    to appeal to a certain court of appeals may be inferred from the
    notice and where the defect has not materially misled the
    appellee.”). Unlike the appellant in Anderson, however, Young
    did not timely file a petition in our court that happened to have
    some technical defect. Rather, he did not timely file a petition
    in our court at all.
    Amicus next argues that, even if the petition was untimely,
    the deadline is not jurisdictional and we may excuse the
    petition’s untimeliness in these circumstances.
    Filing deadlines fall into one of three categories:
    (1) jurisdictional deadlines, which cannot be equitably tolled
    by the court or waived by an opposing party, (2) mandatory
    claims-processing deadlines, which are subject to equitable
    tolling unless properly raised by an opposing party, in which
    case they are unalterable, or (3) nonmandatory claims-
    processing deadlines, which are both subject to equitable
    8
    tolling and flexible when raised by an opposing party. Bowles
    v. Russell, 
    551 U.S. 205
    , 213 (2007); Nutraceutical Corp. v.
    Lambert, 
    139 S. Ct. 710
    , 714 (2019). Here, the SEC argues
    that the time limit is jurisdictional, while Amicus argues that
    the time limit is a nonmandatory claims-processing rule. We
    need not resolve this dispute, however, because even assuming
    the time limit is both nonjurisdictional and nonmandatory,
    Young cannot show entitlement to equitable tolling. See Coal
    River Energy, LLC v. Jewell, 
    751 F.3d 659
    , 663 (D.C. Cir.
    2014) (declining to decide whether a statute of limitations is
    jurisdictional because the appellant failed to establish
    entitlement to equitable tolling); see also Norman v. United
    States, 
    467 F.3d 773
    , 776 (D.C. Cir. 2006) (same).
    The party arguing for equitable tolling bears the burden of
    demonstrating entitlement to it. United States v. Saro, 
    252 F.3d 449
    , 454 (D.C. Cir. 2001). “Generally, a litigant seeking
    equitable tolling bears the burden of establishing two elements:
    (1) that he has been pursuing his rights diligently, and (2) that
    some extraordinary circumstance stood in his way.” Pace v.
    DiGuglielmo, 
    544 U.S. 408
    , 418 (2005) (citations omitted).
    “To count as sufficiently ‘extraordinary’ to support equitable
    tolling, the circumstances that caused a litigant’s delay must
    have been beyond its control.” Menominee Indian Tribe of
    Wis. v. United States, 
    764 F.3d 51
    , 58 (D.C. Cir. 2014), aff’d,
    
    136 S. Ct. 750
     (2016). Relevant here, “[t]he circumstance that
    stood in a litigant’s way cannot be a product of that litigant’s
    own misunderstanding of the law or tactical mistakes in
    litigation.” 
    Id.
    To meet this heavy burden, Amicus primarily relies on
    Burnett v. New York Central Railroad Company, 
    380 U.S. 424
    (1965). In that case, the petitioner filed an action under the
    Federal Employers’ Liability Act (FELA) in an Ohio state
    court that had concurrent jurisdiction over the action. 
    Id.
     at
    9
    424-25. However, the state court dismissed his action because
    venue was improper. 
    Id. at 425
    . Eight days later, he filed an
    identical action in an Ohio federal court. 
    Id.
     This time, the
    complaint was dismissed because “although the state suit was
    brought within [FELA’s] limitations period, the federal action
    was not.” 
    Id.
     The court of appeals affirmed the dismissal, but
    the Supreme Court reversed. 
    Id. at 424-26
    . Specifically, the
    Court concluded that “when a plaintiff begins a timely FELA
    action in a state court of competent jurisdiction, service of
    process is made upon the opposing party, and the state court
    action is later dismissed because of improper venue, the FELA
    limitation is tolled during the pendency of the state action.” 
    Id. at 428
    .
    The SEC argues that Burnett does not apply here, because
    the plaintiff in that case filed his claim in a court of “competent
    jurisdiction” – that is, a state court with concurrent jurisdiction
    over the claim. SEC Resp. Br. at 35. We agree. In Burnett,
    “[t]here [wa]s no doubt that, as a matter of federal law,” the
    plaintiff’s action “was properly ‘commenced’ within the
    meaning of the federal limitation statute.” 
    380 U.S. at 426
    .
    Therefore, the plaintiff “did not sleep on his rights but brought
    an action within the statutory period in the state court of
    competent jurisdiction.” 
    Id. at 429
    . The only reason that the
    plaintiff had to refile his suit in federal court was because Ohio
    state law did not allow such an action to be transferred to a
    federal court. 
    Id. at 426
    . By contrast, Young’s petition was
    not “properly commenced,” because it was not filed in a court
    with concurrent jurisdiction over it. See 
    id. at 426, 429
    .
    Every circuit that has considered the question before us has
    held that filing an action in a state court or federal agency that
    clearly lacks jurisdiction over the action does not toll the time
    for filing in federal court. See Thompson v. Comm’r of Soc.
    Sec. Admin., 
    919 F.3d 1033
    , 1037 (8th Cir. 2019) (“The
    10
    rationale of [Burnett] does not extend to a situation like this one
    under [42 U.S.C] § 405(g), where federal courts have exclusive
    jurisdiction over a claim, and the complainant mistakenly
    corresponds with an agency rather than a court of competent
    jurisdiction.”); Jackson v. Astrue, 
    506 F.3d 1349
    , 1357 (11th
    Cir. 2007) (affirming dismissal of action under 42 U.S.C.
    405(g) because “[t]he [state court] in which [the appellant]
    filed her claim was not a court of competent jurisdiction over
    her claim”); Gibson v. Am. Bankers Ins. Co., 
    289 F.3d 943
    , 946
    (6th Cir. 2002) (“We agree with the district court that plaintiffs’
    claims . . . were within the exclusive jurisdiction of the federal
    district court and, therefore, the filing in state court did not toll
    the statute of limitations.”); Shofer v. Hack Co., 
    970 F.2d 1316
    ,
    1319 (4th Cir. 1992) (“The commencement of an action in a
    clearly inappropriate forum, a court that clearly lacks
    jurisdiction, will not toll the statute of limitations. . . . Because
    the state court clearly lacked jurisdiction over the ERISA
    fiduciary duty claims, Burnett . . . [does] not apply, and
    equitable tolling under federal tolling principles is not
    appropriate in this case.”). We now join them.
    To be sure, where a litigant “reasonably believe[s]” that
    the state court possesses concurrent jurisdiction over a federal
    claim, courts will toll the limitations period from the filing of
    the state action. See Fox v. Eaton Corp., 
    615 F.2d 716
    , 719-21
    (6th Cir. 1980) (“[A]s a general matter, the filing of an action
    in a court that clearly lacks jurisdiction will not toll the statute
    of limitations. But in this case, the lack of jurisdiction in the
    state court was far from clear.”); see also Valenzuela v. Kraft,
    Inc., 
    801 F.2d 1170
    , 1175 (9th Cir. 1986) (“At the time
    Valenzuela filed her action in state court it was unclear whether
    federal courts had exclusive jurisdiction over Title VII
    claims. . . . Tolling the 90-day filing period in this case is
    consistent with the remedial purpose of Title VII legislation.”).
    But this is not such a case. There was no reasonable basis for
    11
    Young to believe that the DCCA possessed concurrent
    jurisdiction over a petition for review of an SEC order.
    Amicus also invokes Young’s pro se status as a
    justification for his confusing two similarly named courts. But
    ignorance of the law is not an appropriate basis for equitable
    tolling. See United States v. Cicero, 
    214 F.3d 199
    , 203 (D.C.
    Cir. 2000) (“[I]gnorance of the law or unfamiliarity with the
    legal process will not excuse [a litigant’s] untimely filing, nor
    will a lack of representation during the applicable filing
    period.”) (citations omitted); Richards v. Mileski, 
    662 F.2d 65
    ,
    71 n.10 (D.C. Cir. 1981) (“[M]ere ignorance of the law does
    not ordinarily toll the statute of limitations.”). Rather,
    equitable tolling is appropriate “only in ‘rare instances where—
    due to circumstances external to the party’s own conduct—it
    would be unconscionable to enforce the limitation period
    against the party and gross injustice would result.’” Head v.
    Wilson, 
    792 F.3d 102
    , 111 (D.C. Cir. 2015) (quoting Whiteside
    v. United States, 
    775 F.3d 180
    , 184 (4th Cir. 2014)). No
    extraordinary circumstance beyond Young’s control stood in
    his way. Instead, his mistake is a “garden variety claim of
    excusable neglect.” 3 See Irwin v. Dep’t of Veterans Affairs,
    
    498 U.S. 89
    , 96 (1990).
    Finally, Amicus lays the blame at the feet of the DCCA,
    arguing that “Young’s confusion was likely compounded”
    3
    It is of no moment that Young’s mistake “caused no prejudice” to
    the SEC. Amicus’s Opening Br. at 33. “Although absence of
    prejudice is a factor to be considered in determining whether the
    doctrine of equitable tolling should apply once a factor that might
    justify such tolling is identified, it is not an independent basis for
    invoking the doctrine and sanctioning deviations from established
    procedures.” Baldwin Cty. Welcome Ctr. v. Brown, 
    466 U.S. 147
    ,
    152 (1984). Because Young cannot identify a basis that might justify
    equitable tolling, we don’t consider the absence of prejudice here.
    12
    when, prior to his filing deadline, he contacted the DCCA to
    obtain instructions on how to file his petition, and the DCCA
    failed to correct his misunderstanding about where to file it.
    Amicus Opening Br. at 32. This argument, too, lacks merit.
    “[W]e have excused parties who were misled about the
    running of a limitations period, whether by an adversary’s
    actions, by a government official’s advice upon which they
    reasonably relied, or by inaccurate or ineffective notice from a
    government agency required to provide notice of the
    limitations period[.]” Bowden v. United States, 
    106 F.3d 433
    ,
    438 (D.C. Cir. 1997) (citations omitted). Even assuming
    Young told the DCCA’s clerk’s office that he wanted to seek
    review of an SEC order (a fact he does not allege), he does not
    claim that the DCCA affirmatively “misled” him in any way.
    
    Id. at 438
    ; see also Dyson v. D.C., 
    710 F.3d 415
    , 422 (D.C. Cir.
    2013) (rejecting claim for equitable tolling because the
    appellant did not allege “that either the EEOC or the District of
    Columbia misled her as to her filing deadline”). Moreover, to
    the extent Amicus invokes the “unique circumstances”
    doctrine, that doctrine applies only where a party is “lulled into
    missing the deadline by a formal court order or ruling” and does
    not apply to “statements made by the clerk’s office staff,” see
    Moore v. S.C. Labor Bd., 
    100 F.3d 162
    , 162, 164 (D.C. Cir.
    1996), much less the clerk’s office of another court without
    concurrent jurisdiction.
    III.
    Because no extraordinary circumstances beyond Young’s
    control prevented him from timely filing his petition for
    review, he is not entitled to equitable tolling, and we dismiss
    his petition.
    So ordered.
    WILLIAMS, Senior Circuit Judge¸ concurring in the
    judgment: Four statutes authorize a party in the position of Mr.
    Young to secure review of an adverse SEC order in the court of
    appeals where he resides, or in this court, by filing a petition in
    such court within 60 days. See Securities Act of 1933, § 9(a),
    15 U.S.C. § 77i(a); Securities Exchange Act of 1934, § 25(a),
    15 U.S.C. § 78y(a); Investment Company Act of 1940, § 43(a),
    15 U.S.C. § 80a-42(a); Investment Advisers Act of 1940,
    § 213(a), 15 U.S.C. § 80b-13(a). It is undisputed that on the
    last possible day Mr. Young filed a petition—not in the United
    States Court of Appeals for the District of Columbia Circuit but
    in the District of Columbia Court of Appeals. He filed the next
    day in our court, one day late.
    I believe that our decision in New York Republican State
    Committee v. SEC, 
    799 F.3d 1126
     (D.C. Cir. 2015), correctly
    ruled that one of the four relevant statutes, 15 U.S.C. § 80b-
    13(a), did not create a jurisdictional bar precluding the exercise
    of equitable tolling. “We may equitably toll a statutory
    deadline unless Congress has shown its intent to withdraw our
    jurisdiction once a deadline is missed.” Id. at 1134 (citing
    Arbaugh v. Y&H Corp., 
    546 U.S. 500
    , 515–16 (2006), and
    Menominee Indian Tribe v. United States, 
    614 F.3d 519
    , 523–
    25 (D.C. Cir. 2010)).
    The Court’s decision in Arbaugh had created a “clear
    statement” rule to the effect that statutory requirements,
    including timing deadlines, were not to be deemed
    jurisdictional unless “the Legislature clearly states that a
    threshold limitation on a statute’s scope shall count as
    jurisdictional . . . But when Congress does not rank a statutory
    limitation on coverage as jurisdictional, courts should treat the
    restriction as nonjurisdictional in character.” 
    546 U.S. at
    515–
    16. Absent a clear statement to the contrary, filing deadlines
    2
    are “‘quintessential claim-processing rules,’ which ‘seek to
    promote the orderly progress of litigation,’ but do not deprive
    a court of authority to hear a case.” United States v. Kwai Fun
    Wong, 
    575 U.S. 402
    , 410 (2015) (quoting Henderson v.
    Shinseki, 
    562 U.S. 428
    , 435 (2011)).
    The SEC’s misplaced reliance on Bowles v. Russell, 
    551 U.S. 205
     (2007), ignores that the holding there rests on a
    “century’s worth of precedent and practice in American
    courts,” 
    id.
     at 209–10 n.2, treating an appeal from one Article
    III court to another as jurisdictional; “Bowles did not hold
    categorically that every deadline for seeking judicial review in
    civil litigation is jurisdictional,” Henderson, 
    562 U.S. at 436
    .
    Although the Investment Advisers Act makes clear that this
    court has jurisdiction “[u]pon the filing of such petition,” 15
    U.S.C. § 80b-13(a), that language cannot be said to clearly
    make the sixty-day filing deadline jurisdictional. And the three
    statutes other than 15 U.S.C. § 80b-13(a), which employ
    similar language, provide no more linguistic basis for a court to
    dub them jurisdictional than does 15 U.S.C. § 80b-13(a).
    Having found equitable tolling available in principle in
    New York Republican State Committee, however, we declined
    to find any reason to apply it; the filing was four years late and
    the plaintiff failed to show either diligence or any kind of
    extraordinary obstacle to timely filing.
    But although New York Republican State Committee is
    rightly considered a holding that the statutory filing deadline in
    question was consistent with equitable tolling, there is a further
    obstacle, not invoked by the SEC in that case: Federal Rule of
    Appellate Procedure 26(b)(2) provides that the court may not
    extend the time to file
    a notice of appeal from or a petition to enjoin, set
    aside, suspend, modify, enforce, or otherwise review
    3
    an order of an administrative agency, board,
    commission, or officer of the United States, unless
    specifically authorized by law.
    Fed. Rule App. Proc. 26(b)(2) (emphasis added). “In other
    words, Appellate Rule 26(b) says that the deadline for the
    precise type of filing at issue here may not be extended.”
    Nutraceutical Corp. v. Lambert, 
    139 S. Ct. 710
    , 715 (2019)
    (applying the parallel language of Rule 26(b)(1) to petitions for
    permission to appeal authorized by Federal Rule of Civil
    Procedure 23(f)). See also Kern v. SEC, 724 F. App’x 687, 688
    (10th Cir. 2018) (per curiam) (holding that Rule 26(b)(2) bars
    tolling of time to file a petition for review of an SEC order
    under 15 U.S.C. §§ 77i, 78y(a)(1), 80b-13).
    Amicus for Mr. Young argues that 
    28 U.S.C. § 1631
    provides exactly the “specific[] authoriz[ation]” required by
    Rule 26(b)(2). But § 1631 allows transfers only from a court
    “as defined in section 610 of this title.” Section 610, in turn,
    enumerates exclusively a set of federal courts, rendering
    § 1631 useless to Mr. Young and leaving no specific
    authorization of the sort required by Rule 26(b)(2).
    Although I read the controlling materials as barring our
    application of equitable tolling, I’m by no means confident that
    I would deny such tolling if the avenue were open to us. Mr.
    Young was proceeding pro se; within the allowed 60 days he
    filed a petition for review in the local court carrying a name
    almost identical to that of this court, an identity that
    understandably “has led to immense confusion to this day.”
    John G. Roberts, Jr., What Makes the D.C. Circuit Different? A
    Historical View, 
    92 Va. L. Rev. 375
    , 388 (2006). The nearness
    of Mr. Young’s miss, both in time (one day) and the names of
    the courts, coupled with his pro se status, present a fairly
    compelling case for equitable tolling. But Rule 26(b)(2)
    appears to me to throw an insuperable roadblock in his way.