S.E.C. v. ROMERIL

Docket No. 19-4197-cv August Term 2020.

15 F.4th 166 (2021)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Barry D. ROMERIL, Defendant-Appellant, Paul A. Allaire, G. Richard Thoman, Philip D. Fishbach, Daniel S. Marchibroda, Gregory B. Tayler, Defendants.

United States Court of Appeals, Second Circuit.

Decided: September 27, 2021.


Attorney(s) appearing for the Case

Jeffrey A. Berger , Senior Litigation Counsel, for Robert B. Stebbins , General Counsel, and Michael A. Conley , Solicitor, Securities and Exchange Commission, Washington, D.C., for Plaintiff-Appellee.

Margaret A. Little , Senior Litigation Counsel ( Kara Rollins , Litigation Counsel, on the brief), New Civil Liberties Alliance, Washington, D.C., for Defendant-Appellant.

Paul R. Niehaus , Kirsch & Niehaus PLLC, New York, New York, and Rodney A. Smolla , Wilmington, Delaware, for Amici Curiae Alan Garfield, Burt Neuborne, Clay Calvert, Rodney Smolla, Reason Foundation, The Goldwater Institute, The Institute for Justice, and The Pelican Institute for Public Policy, in support of Defendant-Appellant.

Helgi C. Walker ( Brian A. Richman , on the brief), Gibson, Dunn & Crutcher LLP, Washington, D.C., for Amicus Curiae The Competitive Enterprise Institute, in support of Defendant-Appellant.

Brian Rosner , Carlton Fields, P.A., New York, New York, for Amicus Curiae Americans for Prosperity Foundation, in support of Defendant-Appellant.

Before: Livingston, Chief Judge, and Chin and Bianco, Circuit Judges.


Almost sixteen years after entering into a consent agreement with the Securities and Exchange Commission (the "SEC") to resolve a civil enforcement action against him, defendant-appellant Barry Romeril moved to set aside the judgment incorporating the agreement, alleging that it contained a "gag order" that violated his First...

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