Podcasts, Newsletters, and More

The notion that the SEC staff has pulled back from aggressive enforcement is widely mischaracterized, and SEC v. Barry is a clear example of what is really happening unless we step in. For more than a decade, the agency has devoted extraordinary resources to pursuing these individual salespeople (destroying their lives and careers along the way) who had no reason to believe they were doing anything wrong. Their employer had received legal advice—based on binding precedent—tha

Now we are helping Ray fight one more SEC injustice: a professional bar that only ends when the SEC says it does, even though his “right to apply for reentry” began seven years ago. The SEC’s process for lifting bars is full of Catch-22 requirements, procedural traps for the unwary, and other impediments that make the right to apply for reentry “illusory” in the words of one former SEC Commissioner. We are fighting to change that.

We’re pleased to bring you the latest updates in this issue, including new developments in our ongoing construction of a legal bulwark against SEC overreach—and a critical look at H.R. 3394, a bill that threatens to take a major step backward in expanding access to America’s capital markets.

If no one lost money, why is the SEC demanding $22 million in disgorgement? That’s the question at the center of Navellier & Associates v. SEC, a case now knocking on the door of the U.S. Supreme Court. Appellate litigator Igor Timofeyev of Paul Hastings unpacks the growing legal divide over how far the SEC can go in punishing conduct—even when investors walk away with profits.

Former SEC Senior Counsel and Securities Law Experts Release Comprehensive SEC Reform Blueprint

What began as the regulatory equivalent of a traffic ticket—a technical supervision violation with no investor losses—has morphed into what

Less than nine months ago, with the help and support of so many of you, ICAN took on our first direct litigation case—SEC v Punch TV. I am p

Most of the average Americans who go online each day to trade stocks have no idea how easily they could become ensnared in the dense web of