Sztrom v. SEC and Your Right to a Jury Trial
In this episode of Unwritten Law, NCLA President and Chief Legal Officer Mark Chenoweth and Senior Litigation Counsel John Vecchione are joined by Senior Litigation Counsel Russ Ryan to discuss Michael Sztrom and David Sztrom v. SEC, a case raising fundamental questions about administrative power and the right to a fair hearing.
After settling an SEC enforcement action in federal court, the Sztroms were subjected to a second, follow-on administrative proceeding that could bar them from the securities industry—based on the same underlying allegations. Russ explains NCLA’s amicus brief…
The skinny
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