Daily Update from Securities Docket

Daily Update from Securities Docket

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

Archive

SEC Charges Prager Metis with Negligence in FTX Audit, Failure to Understand Crypto Asset Markets

SEC Charges Prager Metis with Negligence in FTX Audit, Failure to Understand Crypto Asset Markets

Plus watch out for "Relationship Investment Scams."

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Bruce Carton
SEC Charges Kubient's Former CEO, CFO and Audit Committee Chair with Fraud, Lying to Auditors

SEC Charges Kubient's Former CEO, CFO and Audit Committee Chair with Fraud, Lying to Auditors

Plus lock up your Bitcoin: Inmate 88087-510 goes free on September 29.

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Bruce Carton
SEC Charges Zymergen with Misleading IPO Investors About Market Potential, Revenue Prospects

SEC Charges Zymergen with Misleading IPO Investors About Market Potential, Revenue Prospects

Plus what do non-public information and Fight Club have in common?

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Bruce Carton
SEC Quietly Shuts Down ESG Task Force

SEC Quietly Shuts Down ESG Task Force

Plus a $102 million legal fee award to two firms for their work in a settlement for investors.

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Bruce Carton
Researchers Track Impact of SEC Visits to Firms Using Phone Geolocation Data

Researchers Track Impact of SEC Visits to Firms Using Phone Geolocation Data

Plus a sad trombone for the crypto bros who thought "crypto mattered to voters and politicians."

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Bruce Carton
SEC Charges Deere & Co. with FCPA Violations for Bribes in Thailand

SEC Charges Deere & Co. with FCPA Violations for Bribes in Thailand

Plus Caroline Ellison argues she should receive no jail time in FTX case.

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Bruce Carton
SEC Charges Keurig with Inaccurate Statements About Recyclability of its K-Cups

SEC Charges Keurig with Inaccurate Statements About Recyclability of its K-Cups

Plus no new trial for Matthew Panuwat in shadow insider trading case.

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Bruce Carton
SEC Charges Seven Public Companies in Whistleblower Protection Sweep

SEC Charges Seven Public Companies in Whistleblower Protection Sweep

Plus SEC Chair Mark Cuban?

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Bruce Carton
SEC Requests Dismissal of All Active Accountant Misconduct Cases Pending Before ALJs

SEC Requests Dismissal of All Active Accountant Misconduct Cases Pending Before ALJs

Plus why is Caleb Williams in this newsletter?

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Bruce Carton
SEC Charges Three Registrants with Violating Whistleblower Protection Rule

SEC Charges Three Registrants with Violating Whistleblower Protection Rule

Plus the SEC opts not to appeal Fifth Circuit rejection of private funds rule.

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Bruce Carton
SEC Charges Moody's, S&P and Other Credit Rating Agencies With Off-Channel Communications

SEC Charges Moody's, S&P and Other Credit Rating Agencies With Off-Channel Communications

Plus 19 states launch a challenge to the SEC's Consolidated Audit Trail.

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Bruce Carton
Are Record-Low FINRA Enforcement Actions a Good Thing or a Bad Thing?

Are Record-Low FINRA Enforcement Actions a Good Thing or a Bad Thing?

Plus a federal court dismisses lawsuit against Elon Musk for promoting Dogecoin.

Bruce Carton
Bruce Carton
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