The Securities and Exchange Commission (SEC) is empowered to make regulations and enforce laws that protect investors and promote efficient capital markets. However, our speakers argue that the SEC undermines the rule of law and due process rights when it uses enforcement procedures to create new regulations. Join us for a conversation with Nick Morgan and Tim Pagliara, who successfully challenged this practice in U.S. federal court.
Nick Morgan is the President of Investor Choice Advocates Network and former SEC Senior Trial Counsel. Tim Pagliara is the Founder and Chief Investment Officer of CapWealth Advisors, LLC.
