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Accountants and Lawyers Beware: The Future of SEC Rule 102(e) Proceedings after Jarkesy  


Author:  Jimmy Fokas and Bari R. Nadworny.


Source: Volume 59, Number 14, August 15 2026 , pp.235-238(4)




Review of Securities & Commodities Regulation

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Abstract: 

The Supreme Court’s decision in SEC v. Jarkesy has significantly impacted the SEC’s use of its in-house administrative forum, including for Rule 102(e) proceedings against the professionals who appear and practice before it. The SEC is now seeking similar relief in federal court that it traditionally sought through Rule 102(e) proceedings, raising new legal questions and challenges. This article discusses the use of Rule 102(e) and conduct-based injunctions in federal court.

Keywords: SEC v. Jarkesy; Rule 102(e) Proceedings; SEC v. Dellomo

Affiliations:  1: BakerHostetler.

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