This Article will consider some of the possibilities for controlling and guiding the SEC's discretion to impose sanctions upon broker-dealers. Although it is limited to an examination of the Commission's practice and a discussion of possibilities for reform, the analysis contains obvious implications for any agency with the power to impose sanctions.
Fredrich H. Thomforde Jr.,
Controlling Administrative Sanctions,
Mich. L. Rev.
Available at: https://repository.law.umich.edu/mlr/vol74/iss4/3