{"id":23110,"date":"2025-01-31T15:11:55","date_gmt":"2025-01-31T15:11:55","guid":{"rendered":"http:\/\/www.thinkadvisor.com\/2025\/01\/31\/father-son-lifetime-bar-suit-heats-up-sec-roundup\/"},"modified":"2025-01-31T15:11:55","modified_gmt":"2025-01-31T15:11:55","slug":"father-son-lifetime-bar-suit-heats-up-sec-roundup","status":"publish","type":"post","link":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/2025\/01\/31\/father-son-lifetime-bar-suit-heats-up-sec-roundup\/","title":{"rendered":"Father-Son Lifetime Bar Suit Heats Up: SEC Roundup"},"content":{"rendered":"<div class=\"media_block\"><a href=\"https:\/\/feeds.feedblitz.com\/-\/912022142\/0\/thinkadvisor.jpg\"><img decoding=\"async\" src=\"https:\/\/feeds.feedblitz.com\/-\/912022142\/0\/thinkadvisor.jpg\" class=\"media_thumbnail\"><\/a><\/div>\n<div><img decoding=\"async\" src=\"https:\/\/images.thinkadvisor.com\/contrib\/content\/uploads\/sites\/413\/2022\/02\/SEC_Building_640x640-1.jpg\" class=\"ff-og-image-inserted\"><\/div>\n<p>[embedded content]Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor Choice Advocates Network.<\/p>\n<p>In this episode, ICAN President Morgan interviews former SEC attorneys Mary Hansen and Mike Rinaldi of Duane Morris about their groundbreaking lawsuit challenging SEC enforcement practices. <\/p>\n<p>The attorneys represent <a href=\"https:\/\/www.thinkadvisor.com\/2021\/01\/22\/sec-charges-father-son-team-with-defrauding-clients\/\" target=\"_blank\" rel=\"noopener\"><u>Michael and David Sztrom<\/u><\/a>, a father-son investment advisory duo facing potential lifetime industry bars through SEC administrative proceedings, despite no allegations of investor harm. <\/p>\n<div>\n<p>Learn how their case highlights concerns about SEC in-house courts, including lack of jury trials, due process issues and the use of summary dispositions. <\/p>\n<p>The discussion provides unique insights from two former SEC attorneys on why they believe the current administrative enforcement system is unconstitutional and needs reform.<\/p>\n<\/div>\n","protected":false},"excerpt":{"rendered":"<p>[embedded content]Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor Choice Advocates Network. In&#46;&#46;&#46;<\/p>\n","protected":false},"author":1,"featured_media":23111,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":[],"categories":[],"tags":[1],"jetpack_featured_media_url":"https:\/\/blog.lifeinsurance-orleans.ca\/wp-content\/uploads\/2025\/01\/father-son-lifetime-bar-suit-heats-up-sec-roundup.jpg","_links":{"self":[{"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/posts\/23110"}],"collection":[{"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/comments?post=23110"}],"version-history":[{"count":0,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/posts\/23110\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/media\/23111"}],"wp:attachment":[{"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/media?parent=23110"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/categories?post=23110"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/blog.lifeinsurance-orleans.ca\/index.php\/wp-json\/wp\/v2\/tags?post=23110"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}