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Daily Update from Securities Docket

Read by defense counsel, in-house counsel, regulators, consultants and everyone else.

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Bruce Carton

SDNY Charges Two Former CEOs ‌of Linqto With $450 Million "Pre-IPO" Fraud

Plus why is Kawhi Leonard in this newsletter?

Bruce Carton

SEC Chair Atkins Takes Steps to Give U.S. States Power Over Shareholder Resolutions

Sep 2, 2026

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3 min read

SEC Chair Atkins Takes Steps to Give U.S. States Power Over Shareholder Resolutions

Plus, the SEC is eyeing a plan to expand access for retail investors to private markets.

Jaclyn Jaeger, +1

Sep 1, 2026

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4 min read

Kalshi Bans Former Rep. George Santos for Life

Plus the SEC asks RIAs for proof that they have access to shares in hot startups.

Bruce Carton

Ninth Circuit Splits With Third Circuit Over Prediction Markets

Aug 31, 2026

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5 min read

Ninth Circuit Splits With Third Circuit Over Prediction Markets

Plus, Behind the Numbers with Rex Homme of Ankura Consulting

Jennifer Lee

Aug 28, 2026

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1 min read

Seeking Nominations for Securities Docket’s "Enforcement Elite" for 2026

Please submit your nominations until Friday, October 16, 2026.

Bruce Carton

SEC Charges 38 Investment Advisers who "Feigned Legitimacy" Through Purportedly Fake ADVs

Aug 28, 2026

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7 min read

SEC Charges 38 Investment Advisers who "Feigned Legitimacy" Through Purportedly Fake ADVs

Plus, Q&A with Margaret Nelson, Partner at Foley Lardner

Jennifer Lee

Fifth Circuit Finds for SEC in Off-Channel Communications Dispute

Aug 27, 2026

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3 min read

Fifth Circuit Finds for SEC in Off-Channel Communications Dispute

Plus the SEC drops case against former Congressman Stephen Buyer.

Bruce Carton, +1

Deloitte to Pay $21.5 Million to Settle DOJ Investigation into DEI Policies

Aug 26, 2026

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2 min read

Deloitte to Pay $21.5 Million to Settle DOJ Investigation into DEI Policies

Plus PCAOB is scrapping its office of the investor advocate.

Bruce Carton

SEC Probing Near-Meltdown at Situational Awareness Hedge Fund

Aug 25, 2026

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3 min read

SEC Probing Near-Meltdown at Situational Awareness Hedge Fund

Plus the CAT poses budget problems for the SEC.

Bruce Carton

...

Archive

SDNY Charges Two Former CEOs ‌of Linqto With $450 Million "Pre-IPO" Fraud

SEC Chair Atkins Takes Steps to Give U.S. States Power Over Shareholder Resolutions

Kalshi Bans Former Rep. George Santos for Life

Ninth Circuit Splits With Third Circuit Over Prediction Markets

Seeking Nominations for Securities Docket’s "Enforcement Elite" for 2026

SEC Charges 38 Investment Advisers who "Feigned Legitimacy" Through Purportedly Fake ADVs

Fifth Circuit Finds for SEC in Off-Channel Communications Dispute

Deloitte to Pay $21.5 Million to Settle DOJ Investigation into DEI Policies

SEC Probing Near-Meltdown at Situational Awareness Hedge Fund

Daily Update from Securities Docket

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