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Barry D. Romeril v. Securities and Exchange Commission

Paid petition · United States Court of Appeals for the Second Circuit, No. 19-4197 · judgment September 27, 2021

Certiorari denied · June 21, 2022
Pre-decision estimate: 9% cert probability (95% interval 6%–12%)

Before the decision, about 2.1× the 4.1% base rate. The model weighted this up for a Second Circuit decision below, a circuit split argued in the petition, and a dissent in the court below (flagged in the petition).

Questions presented

  1. Does it violate the First Amendment for the Securities and Exchange Commission to impose a requirement that any party with whom it settles must agree to a lifelong prior restraint barring any statement, however truthful and whenever and however expressed, that even suggests that any allegation in a Securities and Exchange Commission Complaint is insupportable?

  2. Does the Securities and Exchange Commission violate the Due Process Clause when it requires that any party with whom it settles must sign an SEC-drafted Consent Form waiving his due process rights and agree to a lifelong prior restraint barring any statement, however truthful and whenever and however expressed, that even suggests that any allegation in a Securities and Exchange Commission Complaint is insupportable?

  3. Is a final judgment entered by a United States District Court which includes an unconstitutional lifetime ban on any statement, however truthful and whenever and however expressed, that even suggests that any allegation in a Securities and Exchange Commission Complaint is insupportable, void, and therefore subject to review under Rule 60(b)(4)?

Counsel of record

For petitioner
Floyd Abrams
Cahill Gordon & Reindel LLP

For respondent
Elizabeth B. Prelogar
Solicitor General

Case

Conference history
Distributed for 1 conference

Amicus briefs
7 cert-stage

Proceedings

  1. Jun 21 2022
    Petition DENIED.
  2. May 31 2022
    DISTRIBUTED for Conference of 6/16/2022.
  3. May 27 2022
    Waiver of the 14-day waiting period for the distribution of the petition under Rule 15.5 filed by petitioner.
    Main Document
  4. May 27 2022
    Reply of petitioner Barry D. Romeril filed. (Distributed)
    Main DocumentProof of ServiceCertificate of Word Count
  5. May 23 2022
    Brief of respondent United States Securities and Exchange Commission in opposition filed.
    Main DocumentCertificate of Word Count
  6. Apr 22 2022
    Brief amicus curiae of Hamilton Lincoln Law Institute filed.
    Main DocumentProof of ServiceCertificate of Word Count
  7. Apr 22 2022
    Brief amici curiae of Mark Cuban, et al.
    Main DocumentProof of ServiceCertificate of Word Count
  8. Apr 22 2022
    Brief amici curiae of Competitive Enterprise Institute, et al. filed.
    Main DocumentCertificate of Word CountProof of Service
  9. Apr 22 2022
    Brief amici curiae of Constitutional Law & First Amendment Scholars filed.
    Main DocumentCertificate of Word CountProof of Service
  10. Apr 22 2022
    Brief amici curiae of Due Process Institute filed.
    Main DocumentCertificate of Word CountProof of Service
  11. Apr 22 2022
    Brief amicus curiae of Thomas More Society filed.
    Main DocumentProof of ServiceCertificate of Word Count
  12. Apr 22 2022
    Brief amicus curiae of Pelican Institute for Public Policy filed.
    Main DocumentCertificate of Word CountProof of Service
  13. Apr 13 2022
    Motion to extend the time to file a response is granted and the time is extended to and including May 23, 2022.
  14. Apr 12 2022
    Motion to extend the time to file a response from April 22, 2022 to May 23, 2022, submitted to The Clerk.
    Main Document
  15. Apr 05 2022
    Blanket Consent filed by Respondent, United States Securities and Exchange Commission
    Blanket Consent
  16. Mar 21 2022
    Petition for a writ of certiorari filed. (Response due April 22, 2022)
    PetitionAppendixCertificate of Word CountProof of Service