Archive

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

SEC Files $18M Insider Trading Action Against Investment Banker and Friend

Aug 24, 2026

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5 min read

SEC Files $18M Insider Trading Action Against Investment Banker and Friend

Plus Q&A with Renato Mariotti, Partner at Paul Hastings

Jennifer Lee

SDNY Charges Finance Director With Insider Trading

Aug 21, 2026

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6 min read

SDNY Charges Finance Director With Insider Trading

Plus Q&A with Shamoil Shipchandler, Chief Counsel at Charles Schwab

Jennifer Lee

Pres. Trump Meets With Crypto Leaders, Regulators, to Urge Passage Of Clarity Act

Aug 20, 2026

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4 min read

Pres. Trump Meets With Crypto Leaders, Regulators, to Urge Passage Of Clarity Act

Plus the CFTC goes easy on former FTX execs due to their extensive cooperation.

Bruce Carton

Aug 19, 2026

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4 min read

SEC Charges Former Tricolor CEO, CFO, and Senior Director of Finance With Fraudulent Scheme

Plus the SDNY brings insider trading case against then-Senior Director of Operations at Treace Medical.

Bruce Carton

DOJ Probing Whether VC Firm Partners are Improperly Serving on Boards of Competing AI Companies

Aug 18, 2026

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3 min read

DOJ Probing Whether VC Firm Partners are Improperly Serving on Boards of Competing AI Companies

Plus survey shows most companies would continue to provide quarterly updates regardless of SEC proposal.

Bruce Carton

SEC Charges Boiler Room Operator in $74 Million Pre-IPO Investment Scam

Aug 17, 2026

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4 min read

SEC Charges Boiler Room Operator in $74 Million Pre-IPO Investment Scam

Plus, Q&A with Charu Chandrasekhar, Partner at Debevoise & Plimpton

Jennifer Lee

1 2 3...90

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

SEC Files $18M Insider Trading Action Against Investment Banker and Friend

SDNY Charges Finance Director With Insider Trading

Pres. Trump Meets With Crypto Leaders, Regulators, to Urge Passage Of Clarity Act

SEC Charges Former Tricolor CEO, CFO, and Senior Director of Finance With Fraudulent Scheme

DOJ Probing Whether VC Firm Partners are Improperly Serving on Boards of Competing AI Companies

SEC Charges Boiler Room Operator in $74 Million Pre-IPO Investment Scam

Daily Update from Securities Docket

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