SEC Roundup 98: How the SEC Unlawfully Delayed a Case for Ten Years

SEC Roundup 98: How the SEC Unlawfully Delayed a Case for Ten Years

What happens when the system designed to police Wall Street breaks down entirely? Co-hosts Nick Morgan and Tom Zaccaro welcome veteran trial counsel Bob Knuts to expose a stunning breakdown in administrative justice. They dissect the case of Lek Securities Corporation, which was left trapped in regulatory limbo for a staggering ten years waiting for an SEC appeal decision. Discover the massive constitutional stakes, the denial of expert witnesses, and why private self-regulatory organizations are facing an unprecedented reckoning in federal court.

SEC Roundup 97: Why Everyone is Suing the SEC

Why is the SEC suddenly facing a historic wave of lawsuits? Professor Amanda Rose joins us to discuss the "rational actor" shift in securities defense. From Supreme Court wins to the rise of pro-bono advocacy, discover why market participants are finally fighting back against the agency’s long-standing regulatory levers.

SEC Roundup 96: Inside the 2026 Enforcement Manual Updates

Is the SEC finally opening up? Co-hosts Nick Morgan and Tom Zaccaro welcome former SEC Associate Director Lori Echavarria to break down the first major update to the SEC Enforcement Manual in nearly ten years. From expanded Wells response times to the return of simultaneous settlement waivers, discover how these "user manual" changes signal a new era for 2026 investigations.

SEC Roundup 95: Investigative Slop & Hallucinations—The Dark Side of the SEC's New AI Task Force

Is the SEC entering its "Moneyball" era? Co-hosts Nick Morgan and Tom Zaccaro sit down with Stan Yakoff, founder of RegLabs.ai, to discuss the infiltration of AI at the Commission. From the risk of "AI investigative slop" to the RegLab’s tools that help you stay ahead of compliance requirements, this episode explores the high-tech future of compliance, enforcement, and the dangerous future of AI-enabled regulators.

SEC Roundup 94: 4 Big Cases to Watch in 2026

Host Nick Morgan and an expert panel break down the four most consequential SEC and financial cases of 2026. From the "Shadow Trading" appeal in the Ninth Circuit to a Supreme Court showdown over $5 billion in stuck funds, learn how these rulings will impact investors, crypto platforms, and the future of enforcement.