SEC Roundup 80: Challenging the SEC’s Silent Sanctions and Lifelong Penalties
Update: 2025-04-23
Description
Dr. Thomas Powell joins ICAN co-founder Nick Morgan and Mark Hiraide to share how a 2021 SEC settlement turned into a years-long professional purgatory. They discuss the reality of SEC industry bars, the collateral damage they cause, and the constitutional issues raised by “neither admit nor deny” settlements. Powell’s case, now in the Ninth Circuit, could have major implications for how the SEC handles administrative sanctions.
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