top of page
SEC Roundup &
Capital Ideas


Nicolas Morgan
Jan 311 min read
SEC Roundup 75: Father/Son Duo Challenge SEC "Death Penalty"
Father-son investment advisory duo challenge potential lifetime industry bars through SEC administrative proceedings.


Nicolas Morgan
Dec 20, 20240 min read
SEC Roundup 74: DC Circuit Deals Blow to FINRA
A groundbreaking DC Circuit decision against FINRA just rocked the financial regulatory landscape.


Nicolas Morgan
Dec 15, 20240 min read
SEC Roundup 73: Expect Dramatic Enforcement Changes in 2025
Hear subject matter experts discuss the SEC Enforcement Division's annual report and trends to watch in 2025.


Nicolas Morgan
Dec 2, 20240 min read
SEC Roundup 72: Court Strikes Down SEC Dealer Rule
Hear from Marisa Coppel, Head of Legal for Blockchain Association.


Nicolas Morgan
Nov 10, 20240 min read
SEC Roundup 71: SEC Sues Victims of SolarWinds Hack
The SEC recently imposed nearly $7 million in penalties against four public companies that were customers of SolarWinds when it was hacked.


Nicolas Morgan
Oct 18, 20240 min read
SEC Roundup 70: Andrew Ceresney on Dropped SEC Accounting Bars, Pt. 2
Hear from former SEC Enforcement Director and current Debevoise partner Andrew Ceresney about his federal court litigation.


Nicolas Morgan
Oct 4, 20240 min read
SEC Roundup 69: SEC Drops Accountant Proceedings, Pt. 1
In a dramatic reversal, the SEC has dismissed all pending, contested administrative bar proceedings against accountants.


Nicolas Morgan
Aug 9, 20240 min read
SEC Roundup 68: NFT Artists Sue SEC
Hear Song-a-Day Jonathan Mann and Brian Frye describe what led them to file a complaint in federal court against the SEC over artistic NFTs.


Nicolas Morgan
Aug 5, 20240 min read
SEC Roundup 67: Supreme Court Opinion and Criminal Trial Shake Up Insider Trading and 10b5-1 Plans
Former SEC attorney and current Akin Gump partner Peter Altman discusses SEC Rule 10b5-1, criminal insider trading, and Chevron deference.


Nicolas Morgan
Jun 24, 20240 min read


Nicolas Morgan
Jun 14, 20240 min read


Nicolas Morgan
May 24, 20240 min read


Nicolas Morgan
May 1, 20240 min read


Nicolas Morgan
Apr 19, 20240 min read


Nicolas Morgan
Mar 29, 20240 min read


Nicolas Morgan
Feb 23, 20240 min read


Nicolas Morgan
Feb 7, 20240 min read


Nicolas Morgan
Jan 10, 20240 min read
bottom of page